NAPA D.C. Fly-In Forum 2020 Registry

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2020 NAPA D.C. FLY-IN FORUM

| THANK

YOU

PATRICIA S. WENZEL President National Association of Plan Advisors

THANK YOU! As a NAPA D.C. Fly-In Forum delegate, you are the best of the best among retirement advisors. By attending this year’s forum virtually, you have proven your dedication and passion for the industry and you’ll be using your voice to help promote legislation to help our plan sponsors and participants across the country. This year’s virtual forum will be different for sure, but I know you will find it just as impactful as ever. The Coronavirus has not stopped the need for legislative reform in the retirement industry, quite the opposite in fact! I know we are extremely busy, especially in this work-from-home environment, and as President of the National Association of Plan Advisors (NAPA), I want to assure you that both your presence—and contributions—here matter.

Many of you have participated in the seven previous NAPA D.C. Fly-In Forums and I know your experience this week, as in the past, will provide you with more specialized knowledge and information that you can share with your teams and clients.

Over the next 24 hours you will have the opportunity to hear from, and interact with, some of the nation’s leading voices on a wide range of topics critical to retirement security. Thanks to the preparation and efforts of NAPA’s Government Affairs team, I know that you’ll find your virtual visits to Capitol Hill to be both informative and productive.

Thanks to NAPA, we have the ability to speak with the collective voice of a nationwide organization—and for you to be part of something larger than yourself: a community of nearly 15,000 advisors committed to preserving, expanding and improving the nation’s private retirement system.

As we enter another election cycle, I hope you will walk away from this year’s virtual Fly-In Forum energized and motivated to do more—to get involved on an ongoing basis in our Government Affairs Committee, or to, as many of you do already, provide financial support to NAPA’s ongoing advocacy efforts through our political action committee. NAPA is such a powerful association, and as the industry’s only advocacy voice for retirement plan advisors, we can influence and shape regulation and legislation and positively affect the retirement outcomes of millions of plan participants.

So, thank you for what you do for your clients, thank you for your support of NAPA and, most importantly, thank you for being part of the first ever virtual Fly-In Forum!

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WELCOME

| NAPA D.C. FLY-IN FORUM 2020

JOHN ABEYTA 2020 NAPA D.C. Fly-In Forum Chairman

WELCOME On behalf of the 2020 NAPA DC Fly-In Forum steering committee, I’d like to welcome you to the 2020 NAPA D.C. Fly-In Forum—Virtual Edition!

Four months into by what is, without question, an historic combination of events, our industry is still unwinding the particulars of the SECURE Act, scrambling to communicate the options of the CARES Act, armed with new e-delivery guidelines, and now confronted with proposed new rules on ESG evaluation, and a “new” fiduciary rule. Sure, change is a constant in our profession. And yet, it’s hard to imagine a time more fraught with challenges—and opportunity.

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While the pandemic prevents us from gathering together physically, the current situation highlights the importance of our collective voice as advocates for those we serve and for our nation’s private retirement system. As delegates to this Eighth Annual NAPA D.C. Fly-In Forum, you are part of something special, a coalition of perspectives that touch the lives of working Americans across the nation every single day. Today, more than ever, your perspectives—individually, but most importantly as a unified voice—can sharpen and magnify those concerns in a way that our representatives in Washington need to understand and support.

We’re thrilled that so many of you have made the time commitment to be part of this important process. In fact, this year’s Fly-In Forum has a record number of delegates, many of whom are joining us for the first time. Together we directly support some: • 14,000 plans • $289 trillion in retirement plan assets • 4.6 million participants In this environment, the NAPA D.C. Fly-In Forum Committee has worked with some of the leading voices, both on Capitol Hill and in the retirement industry generally, to craft an agenda that is timely, provocative and informative as you network with peers and meet with lawmakers to discuss the issues.

As delegates to the NAPA D.C. Fly-In Forum, you have an awesome responsibility—and a unique opportunity—to make a difference, both in the hours ahead and in the days that follow. We’d like to thank you for being part of this unique event—and trust you will find the next 24 hours to be a game-changer!

TIME TO CONSIDER CITs

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TABLEOF CONTENTS 6

AGENDA

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HOME OFFICE

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SPONSORS

Public Policy is Reinventing Retirement Public policy has been the quiet catalyst of retirement industry innovation for more than four decades. The SECURE Act signals a new retirement roar.

At State Street Global Advisors, we are proud sponsors of the NAPA DC Fly-In Forum and committed to helping retirement plan advisors navigate the policy path ahead.

Learn more at ssga.com/DCAdvisor Marketing Communication: The views expressed in this material are the views of State Street Global Advisors through the period June 1, 2020 and are subject to change based on market and other conditions. This document contains certain statements that may be deemed forward-looking statements. Please note that any such statements are not guarantees of any future performance and actual results or developments may differ materially from those. There is no representation or warranty as to the accuracy of the information and State Street shall have no liability for decisions based on such information.

1 Iron Street, Boston, MA 02210 Š2020 State Street Corporation.

All Rights Reserved. 3134301.1.1.AM.INST Exp. Date: 06/30/2021

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AGENDA

| NAPA D.C. FLY-IN FORUM 2020

VIRTUAL EDITION AGENDA A L L T I M E S A R E E A S T E R N S TA N D A R D T I M E ( E S T )

TUESDAY, JULY 21

11:30 a.m.

BY INVITATION ONLY – ARA PAC SUPPORTERS’ VIRTUAL “COFFEE” WITH SEN. TODD YOUNG (R-IN) Only For ARA PAC Supporters of $500 or more, join to hear Sen. Young’s thoughts on retirement legislation this year and beyond.

12:00 - 12:15 p.m.

WELCOME REMARKS & INTRODUCTION with NAPA President Patricia S. Wenzel & ARA’s Chief Executive Officer Brian Graff 12:18 - 12:44 p.m.

A FEDERAL SOLUTION TO RETIREMENT ACCESS Rep. Richie Neal (D-MA, 1st), Chairman of the House Ways & Means Committee 12:47 - 12:55 p.m.

WHY YOUR ARA PAC MATTERS with co-chair Corby Dall

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12:57 - 1:57 p.m.

ELECTION 2020 PROSPECTS WITH CHARLIE COOK Join renowned political analyst and publisher of the Cook Political Report for insightful and balanced updates on the political state of play— and learn what could happen in the House, Senate, and Presidential races between now and November. Featuring a Q&A—Come prepared with your 2020 election questions for Charlie!

1:59 - 2:19 p.m.

REGULATORY ROSTER: WHAT'S NEXT FROM THE DEPARTMENT OF LABOR? Jeanne Wilson, Acting Assistant Secretary, Employee Benefits Security Administration, Department of Labor 2:21 - 2:36 p.m.

BREAK 2:38 - 2:58 p.m.

INCREASING RETIREMENT SAVINGS AND ENHANCING FINANCIAL LITERACY Sen. Jacky Rosen (D-NV), Senate Health, Education, Labor and Pensions (HELP) Committee 3:00 - 3:20 p.m.

ADDRESSING THE RETIREMENT GAP AND BOLSTERING WOMEN’S FINANCIAL SECURITY Sen. Patty Murray (D-WA), Ranking Member of the Senate Health, Education, Labor and Pensions Committee 3:22 - 3:27 p.m.

BREAK

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| AGENDA

For more information, please visit W W W. N A PA D C F LY I N .O R G

2:32 - 3:47 p.m.

FUTURE RETIREMENT PROPOSALS ON CAPITOL HILL A discussion with Capitol Hill Counsels Lori Prater, Tax Counsel/Policy Director for Rep. Mike Kelly (R-PA-16), and Kara Getz, Counselor to the Chair for House Ways and Means Committee, and Legislative Director for Rep. Richie Neal ( , ) 3:49 - 4:09 p.m.

MAINTAINING THE WORKPLACE RETIREMENT SYSTEM DURING A PANDEMIC—RETIREMENT RELIEF FOR PLAN SPONSORS AND LEGISLATIVE PRIORITIES IN THE RETIREMENT SPACE Rep. David Schweikert (R-AZ, 06th), Member of the House Committee on Ways & Means 4:11 - 4:31 p.m.

CURRENT RETIREMENT PROPOSALS ON CAPITOL HILL A discussion with Capitol Hill Staff Kendra Isaacson, Senior Counsel, Pensions for Senate Health, Education, Labor and Pensions Committee, and Conor Sheehey, Legislative Assistant for Sen. Tim Scott 4:33 - 4:53 p.m.

ASK THE LOBBYIST PANEL Ever wondered what is happening on Capitol Hill on a day-to-day basis?

A panel of Washington insiders offers the “low down” on lobbying and advocacy—bring your questions for ARA’s Government Affairs team, Brian Graff, Andrew Remo, Alisa Wolking, and Shannon Finley, founding partner of consulting firm, Capitol Counsel, LLC. 4:55 - 5:00 p.m.

WRAP-UP AND CLOSING REMARKS with NAPA Fly-In Chair John Abeyta

WEDNESDAY, JULY 22

12:00 - 12:05 p.m.

WELCOME TO SECOND DAY AND KICKOFF 12:05 - 12:25 p.m.

GREATER OPPORTUNITIES AND POTENTIAL RETIREMENT SAVINGS GAINS Rep. Ron Estes (R-KS, 4th), Member of the Ways & Means Committee 12:25 - 12:45 p.m.

VIRTUAL ADVOCACY AND LAST MINUTE Q&A with Alisa Wolking and Andrew Remo 1:00 - 4:00 p.m.

CAPITOL HILL MEETINGS AND PREPARATIONS

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SPEAKERS

| NAPA D.C. FLY-IN FORUM 2020

CHARLIE COOK Editor and Publisher of the Cook Political Report and Columnist for the National Journal

“There are political junkies, and then there’s Charlie Cook – the man who knows more about everything political than anyone else.”

— The Washingtonian

When Charlie Cook makes a pronouncement based on his analysis of the political scene in America, people who want to be “in the know” sit up and listen. For more than two decades he has been Washington’s most trusted – and most accurate – voice on all things political, whether it’s the outcome of a Congressional, gubernatorial, or presidential election.

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As the editor and publisher of the Cook Political Report and a political analyst for the National Journal Group, his prodigious writing is a direct line to the heart of politics. He writes weekly for National Journal magazine and National Journal Daily, and he also pens a regular column for the Washington Quarterly. Once deemed “the Picasso of election analysis” by the Wall Street Journal and represented exclusively by Leading Authorities speakers bureau, Cook produces the sharpest political handicapping in the business, serving as the one-man, go-tosource for Americans who want to be truly informed.”

Cook’s expertise has been featured on the ABC, CBS, and NBC evening news programs, as well as Good Morning America, TODAY, Nightline, Meet the Press, and This Week. He has also been an election night analyst for CNN, CBS, and NBC News and for every presidential election since 1994.

He founded the Cook Political Report in 1984, and became a twiceweekly columnist for Roll Call, Capitol Hill’s premier newspaper, before joining the National Journal Group in 1998.

Charlie Cook also served as a resident fellow at the Institute of Politics at the Kennedy School of Government at Harvard during the spring semester of 2013.

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REP. RON ESTES (R-KS, 4TH)

Member of the House Committee on Ways & Means

Ron Estes (pronounced “ESS-tiss”) is a fifth-generation Kansan and serves Kansas’ 4th Congressional District in the U.S. House of Representatives. Since being sworn into office on April 25, 2017, Rep. Estes has been a leader on passing landmark tax reform, rolling back burdensome regulations, reforming our immigration system and finding solutions to affordable health care for Kansans. In Congress, he has also defended Wichita’s aviation industry, helped pass a five-year Farm Bill to support Kansas agriculture, protected the 4th District’s water supply and quality of life, and led efforts to secure new pro-life guidelines for the Title X Family Planning Program.

The son of a veteran, Rep. Estes has also prioritized supporting our military and military families, while helping veterans and constituents navigate government agencies like the VA, Social Security Administration, the IRS and others.

Rep. Estes grew up on his family farm in Kansas and went on to earn a degree in civil engineering and a graduate degree in business administration. He began his career in consulting and management roles for industries including aerospace, energy and manufacturing. An engineer by trade, he successfully implemented a variety of systems that streamlined operations, increased efficiency and improved customer relations—all while cutting costs. That experience in the private sector has helped position Rep. Estes as a committed advocate for Kansas taxpayers in the U.S. House of Representatives.

Following his private sector career, Rep. Estes served his fellow Kansans as Sedgwick County (Kansas) Treasurer and then Kansas State Treasurer.

As the only former state treasurer serving in the House and a member of the Committee on Ways & Means, Rep. Estes remains a champion of lower taxes, free and fair trade, and affordable health care.

Ron and his wife, Susan, have three children and reside in Wichita.

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SPEAKERS

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BRIAN H. GRAFF Chief Executive Officer American Retirement Association

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Brian H. Graff, Esq., is the Chief Executive Officer of the American Retirement Association, the umbrella organization for the American Society of Pension Professionals & Actuaries (ASPPA), the American Society of Enrolled Actuaries (ASEA), the National Association of Plan Advisors (NAPA), the National Tax-deferred Savings Association (NTSA), and the Plan Sponsor Council of America (PSCA). Graff oversees the American Retirement Association’s operations and, working with the Board of Directors, charts the strategic direction for the organization.

He also serves as the Executive Director of ASPPA and NAPA. The American Retirement Association is a national organization of more than 20,000 retirement plan professionals who provide advisory and administrative services for qualified retirement plans covering tens of millions of American workers. In addition to representing the interests of its members before Congress and federal regulatory agencies on a combined basis, the American Retirement Association annually conducts more than a dozen industry conferences, and annually administers more than 5,000 examinations leading to various industry-related professional credentials.

Graff speaks actively on behalf of the retirement plan system and has been quoted in the Washington Post and the Wall Street Journal and interviewed by various television outlets. He has testified on retirement policy issues before Congress and various federal regulators on numerous occasions.

An attorney (District of Columbia) and certified public accountant (New York-inactive), Graff was formerly Legislation Counsel to the U.S. Congress Joint Committee on Taxation, where he provided policy and technical analysis relating to employee benefits, health care and Social Security to members of Congress. While working for Congress, he participated in the development of legislation including the Small Business Job Protection Act of 1996 and the Health Insurance Portability and Accountability Act of 1996. Prior to working on Capitol Hill, Graff was associated with a Washington, DC, law firm, the Groom Law Group, which specializes in employee benefits. He received his doctoral degree in law, cum laude, from the University of Pennsylvania Law School in Philadelphia, and holds a Bachelor of Science in accounting with distinction from Cornell University in Ithaca, NY.

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WILL HANSEN Chief Government Affairs Officer American Retirement Association

Will Hansen joined the American Retirement Association (ARA) in January 2019 in the new role of Chief Government Affairs Officer. In this position, Will oversees all advocacy activities at the federal, state and local levels on behalf of the five organizations within ARA. In addition, Will is the Executive Director of the Plan Sponsor Council of America (PSCA). Founded in 1947, PSCA has been at the forefront of protecting the American retirement system and is committed to improving workers’ retirement security by providing advocacy, insights, and education to plan sponsors.

Hansen, an attorney with an LLM in Employee Benefits from The John Marshall Law School, joined ARA from the ERISA Industry Committee (ERIC), where he was the Senior Vice President of Retirement and Compensation Policy. He joined ERIC from the Holland America Group, where he served as Senior Manager of Global Employee Benefits overseeing employee benefit programs for five cruise brands under the Carnival Corporate umbrella. Previously he served as the Executive Director of the U.S. Congress Joint Economic Committee, as well as Legislative Counsel for Sen. Robert Casey, Jr. (D-PA), advising the senator on tax, pension, budget and Social Security issues, and as Legislative Director for Sen. Tammy Baldwin (D-WI). He also has experience as an employee benefits attorney with McDermott Will & Emery LLP, where he focused on qualified and non-qualified retirement plans.

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SPEAKERS

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SEN. PATTY MURRAY (D-WA)

Ranking Member of the Senate Committee on Health, Education, Labor and Pensions (HELP)

As Washington state’s senior senator, Patty Murray has a proven track record spanning more than two decades of fighting for Washington families in the U.S. Senate. Serving as a member of Senate Democratic leadership since 2007, Patty has established herself as a tireless and effective leader on education, transportation, budget issues, port security, health care, women, and veterans issues.

In addition to being the first female senator from Washington state, Patty served as the first female Chair of the Senate Veterans’ Affairs Committee during the 112th Congress and the first female Chair of the Senate Budget Committee during the 113th Congress. She is currently Ranking Member of the Senate Health, Education, Labor, and Pensions Committee.

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Never planning to enter politics, in the 1980s a state politician told her she “couldn’t make a difference” when she went to Olympia as a parent to advocate for a local preschool program targeted by state budget cuts.

Patty responded by organizing a grassroots coalition of 13,000 parents that fought successfully to save the program. She went on to serve on the Shoreline School Board, and in 1988 was elected to the Washington State Senate. In 1992, she ran for the U.S. Senate as a voice for Washington families who were not being heard. Outspent dramatically, Patty ran a grassroots campaign of family, friends, supporters, and public interest groups to beat a 10-year veteran of the U.S. House of Representatives. Patty was reelected in 1998, 2004, and 2010.

As a unique voice in the Senate, Patty is known for her down-to-earth, determined style. She’s been called “a workhorse, not a show horse” by the Seattle Post-Intelligencer for her intense, behind-the-scenes efforts to get the job done. She has also been described as “tenacious” in her work to address Washington state’s needs by the Seattle Times.

Patty met her husband of over 40 years, Rob Murray, while attending Washington State University. They have two grown children, Sara and Randy. Patty enjoys fishing, exploring Washington state’s great outdoors and spending time with her family.

2020 NAPA D.C. FLY-IN FORUM

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Discover more at franklintempleton.com/reachforbetter

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SPEAKERS

| NAPA D.C. FLY-IN FORUM 2020

REP. RICHARD E. NEAL (D-MA, 1ST)

Chairman House Committee on Ways & Means

Rep. Richard E. Neal represents the First Congressional District of Massachusetts in the U.S. Congress. He was born in Worcester, MA on Feb. 14, 1949, and was raised and educated in the City of Springfield.

He is a 1972 graduate of American International College, where he received his Bachelor’s Degree in political science and was a member of the National Honor Society. He received his Masters degree in public administration from the Barney School of Business and Public Administration at the University of Hartford in 1976.

Richard Neal was first elected to the House of Representatives in 1988. He is the Chairman Member of the tax-writing Ways & Means Committee.

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Rep. Neal is the dean of both the Massachusetts delegation and the New England congressional delegation. He is a long-time guest lecturer at the University of Massachusetts in Amherst and a Trustee at Mount Holyoke College. He is a National Trustee of John F. Kennedy Library in Boston.

He served as the Mayor of the City of Springfield from 1984 to 1988, and was highlighted in Newsweek magazine for his many accomplishments during that time.

Rep. Neal has been a lead sponsor of legislation to prevent American companies from moving offshore to avoid paying U.S. taxes. He has sponsored legislation that would increase the national savings rate by encouraging the use of individual retirement accounts, and has worked to make health care and tuition expenses tax deductible for middle class people. He successfully led the charge to eliminate the Alternative Minimum Tax (AMT) for middle-class families in America. He has a long legislative history of fighting to preserve and protect Medicare and Social Security.

Rep. Neal is an At-Large Whip for the House Democrats. He is a co-chairman of the New England Congressional Caucus, where he advocates for the unique regional interests of the six New England States. He is also the Democratic Leader of the Friends of Ireland Caucus.

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ANDREW REMO Director of Legislative Affairs American Retirement Association

Andrew Remo is the Director of Legislative Affairs for the American Retirement Association (ARA), an organization of more than 25,000 members nationwide who provide consulting and administrative services to millions of American workers, savers, and the sponsors of retirement plans. The ARA has two key missions: to educate and inform retirement benefits professionals and to advocate for policies that give every working American the ability to have a comfortable retirement.

Before joining the ARA in September 2012, Andrew worked as a staff member for U.S. Sen. Benjamin L. Cardin (D-MD) and was responsible for various policy portfolios, including tax and retirement issues.

Andrew holds a Master of Arts in Government and a Master of Business Administration from the Johns Hopkins University as well as a Bachelor of Arts in Political Science from The American University.

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SPEAKERS

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SEN. JACKY ROSEN (D-NV)

Member of the Senate Committee on Health, Education, Labor and Pensions (HELP) and the Senate Special Committee on Aging

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Before being elected to the Senate, Jacky Rosen represented Nevada’s Third District in the 115th Congress. She served on the House Armed Services Committee, where she successfully worked to secure a pay increase for our men and women in uniform and introduced bills to help servicemembers find good-paying jobs after leaving the military. Rosen also served on the House Science, Space and Technology Committee, where she passed bipartisan legislation through the House to improve early childhood STEM education. In the House, Rosen led the effort to defend the constitutionality of the Affordable Care Act’s coverage protections for people with pre-existing conditions and was a member of the bipartisan Problem Solvers Caucus. Overall, Rosen introduced nearly two dozen pieces of legislation, including bills to help create jobs at small business tech startups, cap out-of-pocket prescription drug costs, combat workplace sexual harassment, and protect jobs in the solar industry from harmful tariffs. She also introduced bipartisan legislation to improve the VA that was signed into law as part of a larger VA reform package. During her first two years serving in Congress, more than 50 pieces of legislation sponsored or co-sponsored by Rosen passed the House, with nine becoming law. Rosen was ranked as the fifth-mostbipartisan freshman member of the House of Representatives in the 115th Congress.

Rosen has lived in Nevada for nearly 40 years. As the first member of her family to graduate from college, Rosen worked two jobs and took out student loans to make ends meet. She worked as a waitress, including at Caesars Palace in Las Vegas, and was a proud member of Culinary Workers Union Local 226.

Rosen worked as a computer programmer and software developer for some of the biggest companies in Nevada, including Summa Corporation, Citibank, and Southwest Gas. As former president of Congregation Ner Tamid in Henderson, Rosen dedicated countless hours to supporting her community and helping those in need. Rosen led a team that constructed one of the largest solar projects by a non-profit in southern Nevada through a public-private partnership. The solar array helped cut the synagogue’s energy bills by up to 70 percent. Under Rosen’s leadership, the synagogue prioritized programs serving the community through a partnership with Nevadans for the Common Good and provided meals and housing to the homeless through Family Promise.

Rosen and her husband Larry have one daughter, Miranda. Rosen received her undergraduate bachelor’s degree from the University of Minnesota, Minneapolis in 1979. Rosen also received an associate’s degree in computing and information technology in 1985 from Clark County Community College—what is now the College of Southern Nevada.

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REP. DAVID SCHWEIKERT (R-AZ, 06TH)

Member of the House Committee on Ways & Means

David Schweikert is serving his fifth term in the United States Congress. He holds a seat on the Ways and Means Committee, having previously served on the Financial Services Committee. He also sits on the bicameral Joint Economic Committee, Co-Chairs the Valley Fever Task force with House Minority Leader Kevin McCarthy, and is the Republican Co-Chair of both the Blockchain Caucus, the Tunisia Caucus and the Caucus on Access to Capital and Credit.

Among his legislative accomplishments, David was instrumental in authoring and passing the JOBS ACT into law. The bill was signed by the President in April 2012.

David currently serves on the Social Security and Oversight Subcommittees on Ways and Means. Having previously served as Chairman of the EPA Oversight Subcommittee on the Science, Space, and Technology Committee; David championed key reforms such as the Secret Science Reform Act, which has passed the House of Representatives.

A national leader on tribal policy, David draws on a unique background working with Arizona’s tribal communities on important priorities. He is always eager to take on a technical challenge.

As a strong advocate for efficiencies in the 21st Century economy, David collaborates with entrepreneurs and innovators in Arizona and around the world on ways to increase trade and drive economic growth.

David is the co-chair of the Blockchain Caucus, and has championed technological innovations as the solution to the problems of overburdensome government regulations.

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SPEAKERS

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JEANNE KLINEFELTER WILSON Acting Assistant Secretary for Policy Employee Benefits Security Administration (EBSA) Department of Labor

Jeanne Klinefelter Wilson is the Acting Assistant Secretary for Policy of the Employee Benefits Security Administration (EBSA). As Acting Assistant Secretary, Wilson directs the policy, legislative, and research functions of EBSA. She serves as liaison to other government agencies and the private sector on a variety of issues relating to ERISA. Previously, she served as Deputy Assistant Secretary.

Before her appointment as Deputy Assistant Secretary, Wilson served as counsel to plan sponsors and fiduciaries for more than 15 years. Prior to her graduation from law school, she worked for seven years at a national accounting firm, where she audited employee benefit plans and provided employee benefit plan compliance advice.

Wilson graduated magna cum laude from the University of Houston Law Center in 1994. She is also a graduate of Auburn University.

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ALISA WOLKING Director of Political Affairs American Retirement Association

Alisa Wolking is the Director of Political Affairs at the American Retirement Association (ARA). In her role, Alisa engages federal lawmakers on pension, tax, and retirement issues critical to ARA members. In addition, she monitors legislative developments in the retirement space, communicates key developments to ARA members, leads grasstops engagement strategy, and manages ARA’s Political Action Committee. Before joining ARA, Alisa worked on Capitol Hill for Rep. Virginia Foxx (R-NC), Chairwoman of the Committee on Education and the Workforce, and other members of Congress.

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SPEAKERS

| NAPA D.C. FLY-IN FORUM 2020

SEN. TODD YOUNG (R-IN)

Member of the Senate Finance Committee

Sen. Todd Young represents the state of Indiana. He currently serves on the Senate Committees on Finance; Foreign Relations; Commerce, Science & Transportation; and Small Business and Entrepreneurship.

Previously, in the House, he served on the House Armed Services Committee, the House Budget Committee, and most recently the House Ways & Means Committee.

A fifth-generation Hoosier and the second of three children of Bruce and Nancy Young, Todd grew up watching his parents work hard in order to support the family. From a young age, Bruce and Nancy instilled Midwestern family values, personal responsibility and a strong work ethic in their children. Todd’s first jobs were delivering newspapers, mowing lawns, and providing janitorial services at the family business.

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After graduating from high school, Todd enlisted in the U.S. Navy with the goal of attending the U.S. Naval Academy in Annapolis, MD. A year later, he received an appointment from the Secretary of the Navy and was admitted to Annapolis, where he participated in varsity athletics and was elected a class officer. Todd graduated with honors in 1995 and accepted a commission in the U.S. Marine Corps. After training as a rifle platoon commander and service as an intelligence officer, Todd was assigned to lead a recruiting effort in Chicago and northwest Indiana.

During this time, he put himself through night school at the University of Chicago, where he earned his MBA with a concentration in economics.

After serving a decade in the military, in 2000 Todd was honorably discharged as a Captain. He then spent a year in England, where he wrote a thesis on the economic history of Midwestern agriculture and earned an MA from the School of Advanced Study in London. Upon returning to the United States, he accepted a position at The Heritage Foundation and later worked as a legislative assistant in the U.S. Senate.

In 2003, Todd returned home to Indiana. He worked for several years as a management consultant, advising public and private organizations how they could implement business practices to provide their constituents and customers with more value, often by investing fewer resources.

Soon after returning to Indiana, Todd met his future wife, Jenny, and he again put himself through night school, this time earning his JD from Indiana University. They married in 2005, and then worked together at a small law firm in Paoli, IN, that was started by Jenny’s great-grandfather in 1933. Todd and Jenny currently reside in Johnson County, IN, and have four young children: a son, Tucker, and three daughters, Annalise, Abigail and Ava.

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WORK WITH A RECORDKEEPER WHOSE TOP PRIORITIES ARE THE SUCCESS OF YOUR PLAN SPONSORS AND RETIREMENT CONFIDENCE FOR THEIR EMPLOYEES

transamerica.com 259248

ADVISORS

| NAPA D.C. FLY-IN FORUM 2020

JOHN ABEYTA CRPSÂŽ

Financial Advisor Morgan Stanley 755 E. Mulberry, Suite 300 San Antonio, TX 78212

BUSINESS STATISTICS Retirement Plans: 40 Retirement Assets: $750,000,000 Participants: 15,000

Team Name: The Abeyta Bueche & Sanders Group Retirement Plans: 40 Retirement Assets: $750,000,000 Participants: 15,000

MISSION STATEMENT To improve the financial wellness of the communities in which we live and work.

BIOGRAPHY 22

Founding member of The Abeyta Bueche & Sanders Group at Morgan Stanley and a Corporate Retirement Director at Morgan Stanley. John primarily works with small businesses and institutions, consulting with plan sponsors of ERISA qualified plans helping them fulfill their fiduciary responsibilties and create more successful retirement outcomes for their employees. His designation of Corporate Retirement Director allows him to provide 3(21) and 3(38) fiduciary services from Morgan Stanley for the retirement plan marketplace. His strengths are in investment management, comprehensive solutions and strategic advice. His passion for giving balanced, fair advice along with his experience makes him an excellent advocate and mentor to help others. John grew up in Washington and, although he moved to Texas in 1986, continues to be an avid Seattle Seahawks fan. He moved to San Antonio in 1994 to attend Trinity University and graduated with a Bachelor of Science in Business Administration with a concentration in Finance. He has been with Morgan Stanley his entire career since graduation in May 1998. He is passionate about helping the community and is an active volunteer with The South Central Texas Leukemia & Lymphoma Society where he currently serves as a member of the Board of Trustees.

WORKING WITH RETIREMENT PLANS SINCE 2000

E M E R G I N G

A D V I S O R

LISA M. BENTON

2020 NAPA D.C. FLY-IN FORUM

| ADVISORS

JOSEPH ABLAHANI AIF® • NAPA CPFATM

President Capital Benefits, LLC 363 Rt. 46 West, Suite 140 Fairfield, NJ 07004

BUSINESS STATISTICS Retirement Plans: 76 Retirement Assets: $500,000,000 Participants: 3,400

Team Name: Capital Benefits, LLC Retirement Plans: 76 Retirement Assets: $500,000,000 Participants: 3,400

MISSION STATEMENT We are dedicated to ensuring the financial health and well-being of our clients by providing them with “Single Sourced Solutions” to their individual and business needs. Our strength is a function of the quality of our relationships and the long-term commitments we have made to our clients, our associates, our industry and our communities. We are committed to leading the financial services industry through our example and our reputation for integrity, innovation, quality of services and client satisfaction. We will consistently support those associations which promote increased professionalism within our industry and we take great pride in our associates who hold active leadership roles within those organizations. We appreciate your interest and consideration and look forward to helping you reach your financial objectives.

BIOGRAPHY Joseph C. Ablahani is President and the principal owner of Capital Benefits, LLC. Joe has over 20 years of experience in employee benefits design and pension services. Joe manages the Sales and Service teams and maintains a high-level relationship with the insurance carriers in the marketplace. Joe has been nominated to the National Association of Plan Advisors’ prestigious 401(k) Leadership Award and has achieved Top of the Table recognition through the Million Dollar Round Table organization as well as Six Sigma Black Belt and many other distinguished awards. Joe has recently received one of the highest honors by being recognized to the Inner Circle at MetLife Securities.

Joe has received the Financial Times Advisor of the Year for 2019 and NAPA Top Defined Contribution Advisor Team 2017, 2018 and 2019.

As a Licensed Registered Representative, he has achieved the AIF, CPFA, RFC and a Certified Long-Term Care (CLTC) designation, Joe has completed the four year 401k Coach program which dissects all aspects of pension plans. Joe attended Missouri Valley College and holds a BA degree in Business Administration from William Paterson University.

WORKING WITH RETIREMENT PLANS SINCE 2003

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ADVISORS

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JEFF ACHESON

AIF® • NAPA CPFATM • CFP® • NQPA

Managing Member Advanced Strategies Group 7540 Sawmill Parkway, Suite E Powell, OH 43065

BUSINESS STATISTICS Retirement Plans: 10 Retirement Assets: $325,000,000 Participants: 2,000

MISSION STATEMENT Facilitating Financial Independence through Advanced Planning Strategies

BIOGRAPHY

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Jeff has nearly 40 years of experience with advising and educating clients, providing industry leadership and building trusted relationships.

Prior to founding the Advanced Strategies Group (ASG) Jeff headed up the Advisory Services team for Corporate and Endowment Solutions where his focus was on helping employers design and implement incentive-based deferred compensation and executive benefit plans as well as advising individuals on ways to accumulate wealth through tax favored planning strategies.

Prior to that role, he spent 14 years as a co-managing partner of a CPA firm’s affiliated wealth management arm. Today, Jeff delivers a fiduciary based business model focusing on high income individuals, high net worth families, successful companies, mid-size retirement plan sponsors and charitable organizations, helping them work toward their financial goals and objectives.

WORKING WITH RETIREMENT PLANS SINCE 1982

2020 NAPA D.C. FLY-IN FORUM

| ADVISORS

MANNY ALONSO NAPA CPFATM

Managing Director The 401(k) Lab 5975 Sunset Drive, Suite 605 South Miami, Florida 33143

BUSINESS STATISTICS Retirement Plans: 175 Retirement Assets: $250,000,000

BIOGRAPHY Manny Alonso is a respected leader in his field, a trusted advisor to his clients, and a good friend to his colleagues. During his 20 years in the retirement plan industry he has consulted on over 1,000 Retirement Plans and currently oversees over 200 Plans. Manny is best known for his unbridled energy and passion for the retirement plan industry.

Whether he is speaking on fiduciary best practices, meeting with plan participants, or sharing ideas with his colleagues, Manny pours his heart and soul into everything he does.

WORKING WITH RETIREMENT PLANS SINCE 2000

25

ADVISORS

| NAPA D.C. FLY-IN FORUM 2020

GARRETT ANDERSON NAPA CPFATM

Vice President Plan Sponsor Consultants 3413 Olandwood Ct., Suite 204 Olney, Maryland 20833

BUSINESS STATISTICS Retirement Plans: 40 Retirement Assets: $250,000,000 Participants: 43,500

Team Name: Plan Sponsor Consultants Retirement Plans: 164 Retirement Assets: $2,000,000,000 Participants: 43,500

MISSION STATEMENT

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Our mission at Plan Sponsor Consultants is to create an exceptional retirement plan experience for employers and their employees. We help plan sponsors deliver the highest quality program by providing services that save time, help manage exposure to fiduciary liability, and address both IRS and DOL requirements. Through our unique financial wellness benefit, we assist participants in improving their financial literacy and retirement outcomes.

BIOGRAPHY Garrett is a Certified Plan Fiduciary Advisor, Professional Plan Consultant, and was named one of NAPA’s 2018 Top Retirement Plan Advisors Under 40. Garrett is the 5th generation of his family to join the financial services industry. Garrett’s mission is to assist retirement plan sponsors in developing retirement plan design strategies, meeting fiduciary best practices, alleviating employee financial stress through financial wellness programs and improving participant retirement readiness. Outside of work, he enjoys traveling with his wife Beth, playing lacrosse in the Howard County men’s league, and mountain biking throughout Patapsco State Park with friends.

WORKING WITH RETIREMENT PLANS SINCE 2012

2020 NAPA D.C. FLY-IN FORUM

| ADVISORS

MIKAEL ANDERSON

AIF® • NAPA CPFATM • CRPC® • CRPS® • CIMA® • C(k)P™

Senior Vice President Merrill Lynch 6000 Fairview Rd, Floor 6 Charlotte, NC 28210

BUSINESS STATISTICS Retirement Plans: 33 Retirement Assets: $210,000,000 Participants: 5,000

MISSION STATEMENT Our purpose is simple, it’s to help make financial lives better—it’s who we are and what we do.

BIOGRAPHY Mikael is a Wealth Management Advisor and Retirement Benefits Consultant, serving primarily organizations and high-net-worth individuals. He joined Merrill Lynch Wealth Management in 2000 and his experience includes 401(k) plan consulting, individual wealth strategies, portfolio management, and retirement income strategies. Mikael provides access to 3(21) Fiduciary services, goals-based wealth management and behavioral finance based plan design with the goal of creating successful retirement plans and financial wellness for participants.

Mikael’s credentials include a Bachelor’s and Master’s degree from the University of Illinois at Chicago. He holds the C(k)P® Certified 401(k) Professional designation from The Retirement Advisor University at UCLA Anderson School of Management Executive Education and the Certified Investment Management Analyst® certification from the Investments & Wealth Institute™ (The Institute). Additionally, he holds the Chartered Retirement Plans Specialist and Chartered Retirement Planning Counselor professional designations from the College for Financial Planning®.

WORKING WITH RETIREMENT PLANS SINCE 2000

27

ADVISORS

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KIM ANDERSON AIF®

President/CEO Soltis Investment Advisors, LLC 20 North Main St., Suite 400 St. George, UT 84770

BUSINESS STATISTICS Retirement Plans: 85 Retirement Assets:$4,500,000,000 Participants: 165,000

MISSION STATEMENT Create, Build, and Manage Wealth so our clients are free to pursue life’s most important endeavors.

BIOGRAPHY

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Kim has been with Soltis for over 20 years. He began his career in the financial industry as a consultant with Prudential Insurance Company, licensed in company and individual pensions, mutual funds and insurance products. Kim spent nine years with General Motors Acceptance Corporation (GMAC) managing employees in various financial and credit departments.

Since joining Soltis, Kim has been responsible for the development and services of the Retirement Plan Services Division. He has industry experience consulting a large Third Party Administrator in management, services, and technology. Kim has been a featured industry expert speaker and panelist at various conferences to include Fidelity, Charles Schwab, and The Newport Group.

He has been quoted in national publications including the Wall Street Journal. He is a member of the National Association of Plan Advisors’ (NAPA) Government Affairs Committee with regular interface with government agencies and Congress regarding issues related to retirement planning. He serves on the Fidelity Retirement Advisory Council and the Alliance Benefit Rocky Mountain Advisory Board. Kim received his B.S. degree in Economics from Brigham Young University.

Kim has earned the Accredited Investment Fiduciary® professional designation from Fiduciary 360, Graduate School of Business, University of Pittsburgh.

WORKING WITH RETIREMENT PLANS SINCE 1998

2020 NAPA D.C. FLY-IN FORUM

| ADVISORS

THERESE ANDERSON AIFAŽ • NAPA CPFATM

Financial Advisor Plan Sponsor Consultants 3413 Olandwood Court, Suite 204 Olney, MD 20832

BUSINESS STATISTICS Retirement Plans: 43 Retirement Assets: $25,000,000 Participants: 4,000

Team Name: Plan Sponsor Consultants Retirement Plans: 164 Retirement Assets: $2,000,000,000 Participants: 43,500

MISSION STATEMENT Our mission at Plan Sponsor Consultants is to create an exceptional retirement plan experience for employers and their employees. We help plan sponsors deliver the highest quality program by providing services that save time, help manage exposure to fiduciary liability, and address both IRS and DOL requirements.

BIOGRAPHY For over 25 years, Terry has devoted her practice to providing innovative solutions to qualified and non-qualified retirement plan needs. In addition to her extensive investment experience, Terry provides her clients cutting-edge fiduciary and compliance information on legislative, case law and regulatory changes. Prior to joining Plan Sponsor Consultants, Terry developed her own retirement plan consulting practice in the MidAtlantic area. Previously, Terry was a Regional Sales Director for several national financial services organizations, assisting consultants and brokers in the design, implementation and service of employer pension plans.

WORKING WITH RETIREMENT PLANS SINCE 1977

29

ADVISORS

| NAPA D.C. FLY-IN FORUM 2020

KHALIL ANDRAOS

NAPA CPFATM • CRPC® • CFP® • CIMA® • C(K)P™

Senior Vice President Merrill Lynch 11951 Freedom Dr., Suite 1750 Reston, VA 20190

ACES

2020

NAPA’S TOP PLAN ADVISORS UNDER 40

BUSINESS STATISTICS Retirement Plans: 100 Retirement Assets: $450,000,000 Participants: 5,000

Team Name: The Andraos Group Retirement Plans: 100 Retirement Assets: $450,000,000 Participants: 5,000

BIOGRAPHY Khalil works with a select group of individuals and companies to help develop a disciplined approach to wealth planning, corporate benefits plans and investment management. Focusing on wealth creation, preservation and transfer, he helps clients simplify their financial lives to help them achieve their life goals.

30

Khalil also works with businesses around the country to develop, implement, and manage corporate retirement plans, including profit sharing, 401(k), nonqualified deferred compensation, ESPP, ESOP and defined benefit plans. He helps these businesses with fiduciary modeling, plan administrator implementation, investment fund selection, educational seminars and investment policy statement development.

Khalil is a graduate of the University of Virginia’s McIntire School of Commerce where he earned a Bachelor of Science Degree in Commerce concentrating in Finance and Accounting. He also received his Masters in Business Administration from the McDonough School of Business at Georgetown University. Khalil has been with Merrill Lynch since 2006. He resides in Arlington, VA with his wife and children.

WORKING WITH RETIREMENT PLANS SINCE 2008

2020 NAPA D.C. FLY-IN FORUM

| ADVISORS

PAMELA APPELL AIF®

Vice President P TO PA S NAOMEN OR 9

W DVIS A

201

Plexus Financial Services 21805 W Field Parkway, Suite 300 Deer Park, IL 60010

BUSINESS STATISTICS Retirement Plans: 30 Retirement Assets: $400,000,000 Participants: 10,000

MISSION STATEMENT At Plexus Financial Services, LLC, we believe retirement saving is an opportunity to cherish, not a challenge to fear. We are an objective, independent firm specializing in corporate retirement plan advisory services, including 401(k), 403(b), 457, defined contribution, defined benefit and non-qualified plans. In many cases, we are participating as 3(21) investment co-fiduciaries to our clients’ sponsored plans, and we act in the best interests of their retirement plan participants. We work to mitigate the fiduciary risk faced by corporate plan sponsors, and we advocate for employers and their employees. We develop plan objectives, provider partnerships and open-fund architectures to design and implement best-in-class solutions for our clients’ retirement planning needs and objectives.

BIOGRAPHY Pam brings nearly 20 years of wide-ranging financial experience to Plexus Financial Services, LLC. Her credentials include retirement plan consulting, performance monitoring, investment management, wealth management and financial planning. She has a passion for helping others invest and save for retirement and has worked with entities of all sizes, from start-up organizations to Fortune 500 companies and large pension plans. While at State Street Bank, Pam oversaw a team that consulted corporate and public retirement plans. Pam then joined Boston International Advisors, overseeing their client service and marketing departments. After moving to Chicago, Pam worked for Northern Trust as a consultant to institutional clients, providing analysis to the investment committees. Pam served as a financial advisor at Raymond James & Associates, working with business owners and individuals on their wealth management needs. Pam now assists employers with their fiduciary obligations and helps plan participants pursue their retirement goals. Pam holds a Bachelor of Science degree in Journalism and a Bachelor of Arts degree in Economics, Magna Cum Laude, from Boston University. Pam is a Chartered Financial Analyst (CFA)1, and an Accredited Investment Fiduciary (AIF®). She holds Series 73 and Series 66 securities registrations and life, health and variable contracts insurance licenses.

WORKING WITH RETIREMENT PLANS SINCE 2012

31

ADVISORS

| NAPA D.C. FLY-IN FORUM 2020

ALEXANDER ASSALEY AIF®

Managing Principal AFS 401(k) Retirement Services, LLC 7700 Old Georgetown Road, Suite 630 Bethesda, MD 20814

ACES

2020

NAPA’S TOP PLAN ADVISORS UNDER 40

BUSINESS STATISTICS Retirement Plans: 85 Retirement Assets: $1,950,000,000 Participants: 19,000

Team Name: AFS 401(k) Retirement Services, LLC Retirement Plans: 85 Retirement Assets: $1,950,000,000 Participants: 19,000

MISSION STATEMENT

32

We believe employees should enjoy their life – all of it. We help make complex retirement plans simple. We are the expert advocates for mid and large-sized organizations looking for a better way to manage the complex challenges posed by their employer-sponsored retirement plans. We help make your life easier by simplifying complex fiduciary oversight, plan design and employee advice. We provide you with the guidance and forward thinking strategies that work. We best serve nonprofit organizations and trade associations, professional service firms, manufacturing firms and other companies who truly care about having a worthwhile retirement benefit for their employees.

BIOGRAPHY Alex specializes in the design, implementation and oversight of employer-sponsored retirement plans. He helps employers meet their responsibilities as required by ERISA and governed by the Department of Labor. With his team, he delivers investment, fiduciary and compliance oversight and advice. He also helps create and implement retirement plan communications, including educational workshops, investment guidance and one-on-one counsel to employees. Alex strives to make complex retirement plans simple and straightforward for employers and employees. He received his bachelor’s degree in Economics from West Virginia University. Alex is a member of NAPA and serves on the steering committee for NAPA 401(k) Summit, helping to shape and present the top retirement topics for the organization’s annual national program.

WORKING WITH RETIREMENT PLANS SINCE 2006

2020 NAPA D.C. FLY-IN FORUM

| ADVISORS

JEFF ATWELL AIF® • C(K)P™ • PRP® • QPFC

President TRG Fiduciary Services, LLC 8470 Enterprise Circle, Suite 110 Lakewood Rance, FL 34202

BUSINESS STATISTICS Retirement Plans: 38 Retirement Assets: $150,000,000 Participants: 2,700

MISSION STATEMENT TRG Fiduciary Services, LLC, strives to provide the resources to inspire advisors, plan sponsors and participants to save for a dignified retirement.

BIOGRAPHY Mr. Atwell has specialized and excelled in the qualified retirement plan area for over 40 years. During this time period he has owned a thirdparty administration firm, represented a national recordkeeping platform, created and implemented retirement plan trust and fiduciary services within a bank trust department, and owned an interest in a fiduciary consulting company. He has been involved in over 2,500 plans since 1978. His knowledge and experience significantly enhance the ability for business owners to design the proper plan to meet their company’s goals and objectives, whether the plan is intended to provide retirement benefits for employees, an income tax planning strategy for the owners, or a business exit strategy. Additionally, Mr. Atwell’s expertise will assist business owners who sponsor a qualified plan in establishing and maintaining a fiduciary process. This is very important in light of recent court cases and new Department of Labor regulations.

WORKING WITH RETIREMENT PLANS SINCE 1978

33

ADVISORS

| NAPA D.C. FLY-IN FORUM 2020

SHAWN AULENBACH AIF® • CRPS®

VP - Retirement Gallagher Benefit Services 116 Huntington Ave., 10th Floor Boston, MA 02116

BUSINESS STATISTICS Retirement Plans: 35 Retirement Assets: $950,000,000 Participants: 58,000

Team Name: Gallagher Retirement Boston Retirement Plans: 160 Retirement Assets: $4,200,000,000 Participants: 58,000

MISSION STATEMENT

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To build the best benefits services practice with brokers and consultants who understand the value of building relationships and trust, and creating experiences and results that inspire our clients’ confidence. To provide superior, cost-effective benefit products and services that meet the ever-changing needs of employers, while striving for the highest professional excellence in the delivery of those solutions. We will honor the moral and ethical standards that are vital to gaining organizations’ trust, and their confidence in our ability to continually build and develop a Gallagher benefit services team that excels at what we do.

BIOGRAPHY Shawn joined the Gallagher retirement consulting team as Assistant Vice President in November 2012, with over 20 years of financial services experience that has encompassed all areas of the retirement industry, partnering with clients to provide the most efficient and cost effective retirement plans. He assists his clients with the design, implementation, and investment monitoring of retirement plans; performing research and consulting on plan document reviews; compliance testing and other IRS and/or ERISA issues; and Fiduciary Risk Mitigation and process management. In addition, Shawn provides education and guidance to employees on how to maximize the benefits available to them. He takes pride in ensuring that both present and existing clients are receiving superlative service, and thus he continually develops and cultivates these relationships.

WORKING WITH RETIREMENT PLANS SINCE 1998

2020 NAPA D.C. FLY-IN FORUM

| ADVISORS

KRISTI BAKER AIF® • C(K)P™

Managing Partner CSi Advisory Services 900 E. 96th Street, Suite 325 Indianapolis, IN 46240

P TO PA S NAOMEN OR 9

W DVIS A

201

BUSINESS STATISTICS Retirement Plans: 141 Retirement Assets: $600,000,000 Participants: 13,200

Team Name: CSi Advisory Services LLC Retirement Plans: 212 Retirement Assets: $772,700,000 Participants: 13,200

MISSION STATEMENT Our promise is personal, our dedication is authentic. We are committed to positive retirement outcomes. We are aligned with our clients. We are attentive and authentic. We collaborate with plan sponsors to understand the company’s goals. We provide fiduciary education to plan sponsors and plan trustees. We innovate on employee education and engagement. We provide impartial advice and act with skill, care and diligence. We provide full and fair disclosure, including our compensation from the providers of the products and services we offer.

BIOGRAPHY Kristi is Managing Partner for CSi Advisory Services and President of Compensation Systems, Inc., delivering exceptional service and results.

For over 25 years, Kristi has partnered with hundreds of plan sponsors to design and manage a successful retirement plan both from the company perspective and from retirement success of their employees.

Since 1993, Kristi has upheld a commitment to building an organization centered on integrity and meaningful relationships, which seek to provide unsurpassed service and independent advice for professionals, businesses and their employees. Kristi and CSi have been recognized by many industry groups. In 2020 Kristi and CSi were again recognized as a Top 100 Retirement Plan Advisor by PLANADVISER. She was named to The Financial Times (FT) Top 401k Retirement Advisors from 2016-2019.

She was also named one of NAPA’s Top DC Women Advisor Captains in 2017-2020.

WORKING WITH RETIREMENT PLANS SINCE 1993

35

ADVISORS

| NAPA D.C. FLY-IN FORUM 2020

JESSICA BALLIN AIF® • C(K)P™

Principal, Investment Advisor Rep 401k Plan Professionals 7400 Metro Blvd., Suite 213 Edina, MN 55439

P TO PA S NAOMEN OR 9

W DVIS A

201

BUSINESS STATISTICS Retirement Plans: 95 Retirement Assets: $900,000,000 Participants: 8,700

Team Name: 401k Plan Professionals Retirement Plans: 95 Retirement Assets: $900,000,000 Participants: 8,700

MISSION STATEMENT To provide objective service, advice and education that will empower our clients towards achieving financial wellness and pursuing their retirement goals. Through our thoughtful process and sustained level of care, we build relationships that last a lifetime.

BIOGRAPHY 36

Jessica Ballin is an Investment Advisor Representative and Principal of 401(k) Plan Professionals. She has been a retirement planning specialist for 20 years, joining LPL Financial in January, 2007. She graduated from the Carlson School of Management at the University of Minnesota in 2000. Jessica went on to work as a financial advisor at Wachovia Securities, focusing on the retirement industry. She has obtained her Series 7 (registration held through LPL Financial) and 66 (held through 401(k) Plan Professionals and LPL Financial) licenses and is an Accredited Investment Fiduciary. Jessica has earned the C(k) P™ Certified 401(k) Professional Designation from The Retirement Advisor University™ in collaboration with UCLA Anderson School of Management Executive Education. Jessica is recognized as an industry leader, named to both the National Association for Plan Advisors (NAPA) list of Top Women Advisors in 2015, 2016, 2017, 2018 and 2019 and Top 50 Retirement Plan Advisors under 40 in 2016, 2017 and 2018. She was also named to Financial Times Top Retirement Plan Advisor list in 2015, 2016, 2018 and 2019.

WORKING WITH RETIREMENT PLANS SINCE 2000

2020 NAPA D.C. FLY-IN FORUM

| ADVISORS

CHARLES BARACCO AIF® • NAPA CPFATM

Vice President OneGroup Retirement Advisors OneGroup Center 706 N. Clinton Street Syracuse, NY 13204

ACES

2020

NAPA’S TOP PLAN ADVISORS UNDER 40

BUSINESS STATISTICS Retirement Plans: 44 Retirement Assets: $203,000,000 Participants: 2,850

Team Name: OneGroup Retirement Advisors Retirement Plans: 157 Retirement Assets: $1,367,000,000 Participants: 15,000

MISSION STATEMENT Our mission and philosophy has been unwavering throughout our firm’s history: to offer the highest quality service to retirement plan sponsors and participants in order to create long-term partnerships that drive improved financial outcomes. Through the use of best practices in the areas of education, communication and compliance, we are able to offer premiere retirement plan consulting and investment management services with the level of service and comfort you can only achieve with a local firm.

BIOGRAPHY Chuck is an Accredited Investment Fiduciary® and a Certified Plan Fiduciary Advisor. He has been in the business since 2006 where he started as Plan Administrator in the TPA division and held an ASPPA QKA designation. Chuck’s responsibilities included plan design, compliance testing, evaluating plan documents, performing benefit calculations and researching compliance issues. Chuck continues to work closely with clients assisting in the areas of plan design and compliance while also handling the investment reviews and participant education including group and individual enrollment meetings. Chuck oversees the OneGroup Retirement Advisors plan review process with a heavy focus on educating our Plan Sponsors on their plan and their roles as Fiduciary. He graduated from Loyola College in Maryland. He holds a FINRA Series 7 and Series 63 with LPL Financial and the New York State Life and Health Insurance License.

WORKING WITH RETIREMENT PLANS SINCE 2006

37

ADVISORS

| NAPA D.C. FLY-IN FORUM 2020

BRIAN BARTKUS AIF® • CFP®

President, Retail Sales and Senior Supervisory Principal Marsh & McLennan Agency 101 Huntington Ave, Suite 401 Boston, MA 02199

BUSINESS STATISTICS Retirement Plans: 25 Retirement Assets: $100,000,000 Participants: 3,800

Team Name: MMA Retirement Services Retirement Plans: 1,300 Retirement Assets: $37,000,000,000 Participants: 500,000

MISSION STATEMENT Whether we are meeting a prospect for the first time, or are engaged in a renewal process with a long-term client, we remain committed to upholding our Vision, Mission, and Values.

VISION: To be the world-class leader, revolutionizing our industry and our colleague and client experience.

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MISSION: Making a difference in the moments that matter for our colleagues, clients, and communities.

VALUES: Integrity - Collaboration - Passion - Innovation – Accountability

BIOGRAPHY Brian is a Managing Consultant within Marsh & McLennan Agency’s Retirement Services Practice. With a focus on plans with assets of $20 million and below, Brian is responsible not only for managing a retirement book of business, but also managing the day-to-day activities of his team.

He consults with all levels of employees, from executives in plan design and compliance issues to providing employee education and investment advice to plan participants. Brian also serves as the firm’s Supervisory Principal, responsible for all daily securities industry compliance matters.

He earned his B.S. from the University of Massachusetts, Amherst. Brian is a Certified Financial Planner®, an Accredited Investment Fiduciary®, and a Certified 401k Professional C(k)P®.

WORKING WITH RETIREMENT PLANS SINCE 1999

2020 NAPA D.C. FLY-IN FORUM

| ADVISORS

KATRINA BELL NAPA CPFATM • CIMA®

President ZUNA 1000 SW Broadway, Suite 1010 Portland, OR 97223

BUSINESS STATISTICS Retirement Plans: 10 Retirement Assets: $237,000,000 Participants: 2,600

Team Name: Retirement Plans: 10 Retirement Assets: $237,000,000 Participants: 2,600

MISSION STATEMENT ZUNA was founded in 2019 by six individuals that saw that operational service providers – retirement plan advisors, benefits consultants, payroll providers, auditors and attorneys – were not working together to meet the needs of their mutual clients. We set out to change that. ZUNA was formed to cultivate collaborative processes among the service providers servicing the compensation and benefits space within an organization.

ZUNA seeks to put the needs of the client first, to understand the pain points your organization is facing, and to build a team of operational service providers that work together to meet those needs. Finance and Benefits. Simplified.

BIOGRAPHY Katrina Bell is the President of ZUNA and runs the retirement plan practice for the firm. Ms. Bell has over 20 years of experience in the investment management industry with a focus on consulting for retirement plan fiduciaries. She skillfully guides plan investment committees through a diligent process of making informed decisions while fulfilling their fiduciary responsibilities. She holds a Certified Plan Fiduciary Advisor (CPFA) designation and earned the Certified Investment Management Analyst (CIMA®) designation in conjunction with the Investments and Wealth Institute and Yale School of Management.

Prior to ZUNA, Ms. Bell held a variety of executive roles with a regional advisory firm with over $1 Billion in assets under management. Ms. Bell speaks locally, regionally and nationally on topics related to investments, including the topic of ESG – Environmental, Social and Governance – investing options. As of April 2020, she is a member of the National Association of Plan Advisors Leadership Council. She is also a member of Women in Pensions Network. In her personal time, Katrina enjoys travel, time with her daughters, yoga and exploring the great outdoors.

WORKING WITH RETIREMENT PLANS SINCE 1992

39

ADVISORS

| NAPA D.C. FLY-IN FORUM 2020

DOUGLAS BERMUDEZ NAPA CPFA™ • C(K)P™

Managing Director Strategic Retirement Partners 500 Silver Spur Rd., Suite 121 Palos Verdes, CA 90275-3618

BUSINESS STATISTICS Retirement Plans: 55 Retirement Assets: $361,404,537 Participants: 10,557

Team Name: Strategic Retirement Partners Retirement Plans: 790 Retirement Assets: $11,300,000,000 Participants: 220,000

MISSION STATEMENT To help every working American retire with dignity and peace of mind.

BIOGRAPHY 40

My team and I work with organizations and professionals — we create long-term, trusting relationships and deliver personalized financial services to help achieve financial goals and dreams. As a team, we provide advisory consulting services to organizations for retirement plan success through best practices in plan design and administration, fiduciary responsibility, and employee retirement readiness. When working with individuals and families, we provide our clients with comprehensive advice to help you build, manage, preserve, and transition wealth.

WORKING WITH RETIREMENT PLANS SINCE 1994

2020 NAPA D.C. FLY-IN FORUM

| ADVISORS

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ADVISORS

| NAPA D.C. FLY-IN FORUM 2020

ANDREW BLUESTONE CFPÂŽ

President Selective Benefits Group 50 Hart Street Ramsey, NJ 07446

BUSINESS STATISTICS Retirement Plans: 51 Retirement Assets: $400,000,000 Participants: 9,000

MISSION STATEMENT To provide participants with open architecture investment choice using the latest tools and investment options available in the marketplace.

BIOGRAPHY

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Andy has leveraged his networking and client development skills to build a substantial, highly diversified career. As a CEO in financial services, he has fashioned his talent and focus on developing and training a powerful, productive sales team through a variety of networking skills. As a Certified Financial Planner and President of Selective Benefits Group, Andy currently provides retirement planning advisory services with over $95M under his management. His licenses include life, health and FINRA series 6, 7, 24 and 63.

Andy has published numerous financial and networking articles in trade publications and has written three books: Harnessing the Power of Relationships, Creative Thinking Handbook and Business Development Tool Kit.

WORKING WITH RETIREMENT PLANS SINCE 1990

2020 NAPA D.C. FLY-IN FORUM

| ADVISORS

KATHLEEN BRANCONIER AIF® • C(K)P™

Principal Pensionmark 120 Vantis, Suite 300 Aliso Viejo, CA 92656

P TO PA S NAOMEN OR 9

W DVIS A

201

BUSINESS STATISTICS Retirement Plans: 56 Retirement Assets: $556,000,000 Participants: 11,200

Team Name: Pensionmark Financial Aliso Viejo Retirement Plans: 56 Retirement Assets: $566,000,000 Participants: 11,200

MISSION STATEMENT Fiduciary Retirement Advisory Group’s mission is to ensure their clients are dedicated to an effective fiduciary process regardless of outside factors such as challenging markets, economic uncertainty and legislative changes. Well-trained in fiduciary best practices, the firm offers a successful model of leadership in alleviating the burden on plan sponsors and minimizing liability, while offering personalized education and encouragement to the plan’s participants.

BIOGRAPHY Kathleen is cofounder and Principal of Fiduciary Retirement Advisory Group. She serves companies through a highly developed fiduciary management process to improve the effectiveness of plan sponsors on behalf of their employees. In addition to an MBA in Finance from Loyola Marymount University, Kathleen holds the Accredited Investment Fiduciary™ (AIF®), the Certified 401(k) Professional (C(k)P®) and the Certified Behavioral Finance Advisor (CBFA) designations. She is an Investment Advisor Representative (IAR) with independent Registered Investment Advisory (RIA) firm, Pensionmark Financial Group, LLC. Fiduciary Retirement Advisory Group was selected for the inaugural list of Top DC Advisor Firms by NAPA. Kathleen was named among the Top Women Advisors for 3 consecutive years by NAPA. She was also named a Top 401 Retirement Plan Advisor by Financial Times for 2016 and 2017. Kathleen is serving on the Prudential Financial Advisory Council for the 2019 terms.

WORKING WITH RETIREMENT PLANS SINCE 2000

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ADVISORS

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SAMUEL BRANDWEIN CRPS® • CFP® • CIMA® • QPA • QPFC

Institutional Consulting Director Morgan Stanley / Graystone 595 S. Federal Hwy. #400 Boca Raton, FL 33432

BUSINESS STATISTICS Retirement Plans: 40 Retirement Assets: $1,000,000,000 Participants: 40,000

Team Name: Graystone Consulting The Atlantic Group Retirement Plans: 65 Retirement Assets: $2,500,000,000 Participants: 60,000

MISSION STATEMENT Our team aims to use our collective intelligence and insights – byproducts of our team’s experience and diverse backgrounds – to educate and advise our clients on matters relating to their retirement plans.

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BIOGRAPHY Sam is a Vice President and 401(k) consulting director with Morgan Stanley, having been employed in the investment industry continuously since 1986. He focuses his efforts primarily on investment manager search/evaluation portfolio construction and consulting with plan sponsors regarding the overall operation of their retirement plans.

Sam holds both the Certified Financial Planner (CFP™) and Certified Investment Management Analyst (CIMA®) designations. He is also a credentialed member of ASPPA, having earned their Qualified Pension Administrator (QPA) designation. Sam is an original member of the NAPA Leadership Council, and was the 2016-2017 President of NAPA.

WORKING WITH RETIREMENT PLANS SINCE 1992

2020 NAPA D.C. FLY-IN FORUM

| ADVISORS

LINDA BRIGHT AIF® • C(K)P™

SVP & Managing Director Precept Advisory Group 130 Theory, Suite 200 Irvine, CA 92617

P TO PA S NAOMEN OR 9

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201

BUSINESS STATISTICS Retirement Plans: 15 Retirement Assets: $1,500,000,000 Participants: 10,000

Team Name: Precept Advisory Group Retirement Plans: 60 Retirement Assets: $3,800,000,000 Participants: 25,000

MISSION STATEMENT Precept Advisory Group’s mission is to build competitive, cost effective and appreciated retirement plans that propels employees to retire with confidence.

BIOGRAPHY Linda is the SVP & Managing Director of Precept Advisory Group, a California based RIA firm specializing in retirement plan consulting and investment advisory services. She is responsible for overseeing the practice as well as direct consulting to mid/large public and private corporations. Linda’s team currently manages close to $3.5 billion in combined DC plan assets. In her consulting capacity, Linda has provided fiduciary stewardship to plan committees for over 20 years related to plan design optimization, all areas of plan benchmarking and selection and monitoring of investments. Precept Advisory Group has received national recognition in the past decade as Top 100 Plan Advisory firm, NAPA’s Top Women and Top Plan Advisors Under 40.

WORKING WITH RETIREMENT PLANS SINCE 1995

45

ADVISORS

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STEPHEN BROWN AIF® • CIMA® • C(K)P™

Managing Director Stifel 295 Woodcliff Drive Suite 305 Fairport, NY 14450

BUSINESS STATISTICS Retirement Plans: 23 Retirement Assets: $357,900,000 Participants: 4,500

MISSION STATEMENT

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At Stifel, our mission is to be the Firm of Choice for advisors and other professionals, the Advisor of Choice for clients, and the Investment of Choice for shareholders. Our knowledgeable, experienced financial advisors play an essential role in helping us carry out this mission. By offering an entrepreneurial culture that encourages unconfined, longterm thinking along with extensive resources and dedicated support, Stifel is able to recruit and retain successful, client-focused investment professionals – thus making us the Firm of Choice for advisors. Our financial advisors are empowered to do what’s best for their clients and deliver personal service and a full range of investment products and services, making us the Advisor of Choice for clients. Finally, our advisors’ success ensures the success of our firm, making us the Investment of Choice for shareholders.

BIOGRAPHY Stephen S. Brown, CIMA®, CPWA®, C(k)P®, AIF®, ARPC; Managing Director–Investments. Stephen Brown has been in the Financial Services industry for 27 years. In 2014 his team opened an office for Stifel in Rochester, NY, the first upstate New York office for this 125-year-old St. Louis-based firm. Brown Group advises 83 clients that represent $1.2 Billion in assets. Stephen has been nationally recognized by the following organizations: Barron’s Top Advisor 2009, 2010, 2012 and 2013; Registered Rep Top 100 Wirehouse Advisor 2008, 2009, 2010, 2011 and 2012; Financial Times Top 400 Advisors in 2013; Plan Sponsor Magazine Top Retirement Plan Advisor 2007, 2008, 2009, 2010, 201; and 2020 Plan Advisor Top 100 Advisor in 2010 401(k) Xchange top 300 Advisor in 2010.

WORKING WITH RETIREMENT PLANS SINCE 1988

2020 NAPA D.C. FLY-IN FORUM

| ADVISORS

GINA BUCHHOLZ AIFÂŽ

Advisor 401k Plan Professionals 7400 Metro Blvd, Sute 213 Edina, MN 55439

P TO PA S NAOMEN OR 9

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201

BUSINESS STATISTICS Retirement Plans: 30 Retirement Assets: $200,000,000 Participants: 5,000

Team Name: 401k Plan Professionals Retirement Plans: 105 Retirement Assets: $950,000,000 Participants: 25,000

MISSION STATEMENT To provide objective service, advice and education that will empower our clients towards achieving financial wellness and pursuing their retirement goals. Through our thoughtful process and sustained level of care, we build relationships that last a lifetime.

BIOGRAPHY Gina brings over 20 years of retirement plan experience to our team.

After graduating from the University of Iowa with a B.S. in Finance, Gina began her career as a 401(k) sales and service representative and later worked at an advisory firm. She joined 401(k) Plan Professionals in September of 2017. Gina is Series 7 and 63 licensed (registration held through LPL Financial) and has an AIFÂŽ designation. Gina works closely with our plan sponsor clients to oversee and help service their retirement plans, including plan design consulting, investment due diligence, investment research and employee assistance and education. In 2015, Gina was named by the National Association of Plan Advisors (NAPA) to the Top Woman Advisor List.

WORKING WITH RETIREMENT PLANS SINCE 1993

47

ADVISORS

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LISA BUFFINGTON AIF® • NAPA CPFATM

Managing Consultant Marsh & McLennan Agency 101 Huntington Avenue Boston, MA 02199

P TO PA S NAOMEN OR 9

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BUSINESS STATISTICS Retirement Plans: 30 Retirement Assets: $830,000,000 Participants: 12,000

Team Name: Marsh & Mclennan Retirement Services Retirement Plans: 1,300 Retirement Assets: $37,000,000,000 Participants: 500,000

MISSION STATEMENT

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Marsh & McLennan Agency Retirement Services is one of the nation’s leading retirement plan consulting firms, providing comprehensive services and solutions to organizations of all sizes. Our proactive approach to retirement plan services prioritizes the goals of the employer and employee in four distinct areas: Fiduciary Oversight, Plan Optimization, Investment Due Diligence, and Employee Engagement and Financial Wellbeing. Embedded in Marsh & McLennan Agency, a subsidiary of Marsh & McLennan Companies, the largest risk management firm in the United States, MMA Retirement Services has 24 offices and more than 100 colleagues nationally. Given our other employee benefit and insurance lines of business, our consultants can provide holistic well-being guidance and solutions to our clients and their employees. Our firm is positioned for significant growth organically and through acquisition.

BIOGRAPHY Lisa is a senior Strategic Retirement Plan Consultant aiming to help organizations maximize retirement plan efficiencies and outcomes so that their employees can achieve their financial goals and aspirations for retirement. Lisa works with organizations’ finance, human resources and benefits groups to assist with all aspects of their retirement plans including fiduciary guidance and training, plan design, fee analysis and benchmarking, vendor management, investment selection and monitoring, and compliance, as well as employee engagement and financial wellness strategies. Lisa manages a team of senior retirement plan consultants that support MMA New England’s key account DC, DB, and NQ clients.

Previously employed at Prudential Retirement as the Regional Sales Director for New England and former Key Account Client Manager, Lisa has 30 years of experience assisting plan sponsors and advisors to optimize DC, DB, and NQ plans. Lisa is the former President of Women in Pensions Network (WIPN) and is currently the co-chair for WIPN’s Hartford Chapter. Lisa is the Board Chair for Capital Preparatory Schools Charter Management Organization and an active Junior Achievement volunteer.

WORKING WITH RETIREMENT PLANS SINCE 1990

2020 NAPA D.C. FLY-IN FORUM

| ADVISORS

ANDY BUSH

AIF® • NAPA CPFATM • CRPS® • NQPA

Partner/Advisor Horizon Financial Group 8280 Ymca Plaza Dr., Bldg. 5 Baton Rouge, LA 70810

BUSINESS STATISTICS Retirement Plans: 32 Retirement Assets: $164,000,000 Participants: 2,500

Team Name: Horizon Retirement Plans Home of the 401kBros Retirement Plans: 72 Retirement Assets: $235,000,000 Participants: 4,520

MISSION STATEMENT We enjoy helping others achieve greater confidence, clarity and direction in their lives.

BIOGRAPHY Andy has been a Financial Advisor for 20 years and a partner at Horizon Financial Group for eight years. He leads a team of advisors who concentrate on working with retirement plans and their participants.

He was recently named as the Vice Chair of the Cetera Financial Group Retirement Plans Advisory Council. Andy has been a member of NAPA for several years. His team was recognized as a Top DC Team in 2017, 2018 and 2019. He was also named as a Financial Times Top 401 Advisor in 2018 and 2019. He and his brother, Bill, produce a semi-monthly podcast called “Inside the Plan with the 401k Brothers” geared toward answering common participant questions. They have also teamed up with a local TPA to host plan sponsor educational events called Fiduciary 401(Queso) where they mix chips, queso, margaritas, fiduciary training and compliance strategies. The 401kBros are continually looking for unique ways to make retirement saving more appealing and plan management more interesting. Andy graduated from LSU with a bachelor’s degree in mathematics. He is involved in Rotary, Caring Cetera and his church. He and his wife, Heather, have two teenage children that he actually enjoys and loves dearly.

WORKING WITH RETIREMENT PLANS SINCE 2000

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ADVISORS

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TRICIA CAGE AIF®

Sr. Retirement Benefits Consultant CBIZ Retirement Plan Services 9755 Patuxent Woods Drive, Suite 200 Columbia, MD 21046

BUSINESS STATISTICS Retirement Plans: 88 Retirement Assets: $1,800,000,000 Participants: 25,000

Team Name: CBIZ Retirement Plan Services Retirement Plans: 1,400 Retirement Assets: $40,000,000,000 Participants: 600,000

MISSION STATEMENT

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Our mission is to help our clients prosper by providing them with a wide array of professional business and individual services, products and solutions to help them better manage their finances and employees. We endeavor to provide superior client service and build long-term client relationships. Our unwavering commitment to our clients is equaled by our commitment to our associates and our focus on improving shareholder value. We will maintain a professional culture that is supportive and motivating, fosters and rewards high performance, and creates meaningful career opportunities.

BIOGRAPHY Tricia is a vice president and senior retirement benefits consultant for CBIZ Retirement Plan Services and has over 40 years of experience in the industry. Tricia works with plan sponsors to help them meet their organization’s retirement plan goals. She implements The CBIZ RPS Fiduciary Risk Manager™, a process established to help plan sponsors manage the personal liability associated with being a fiduciary to a qualified plan. She provides consulting services to private and public companies, as well as not-for-profit organizations.

WORKING WITH RETIREMENT PLANS SINCE 1981

2020 NAPA D.C. FLY-IN FORUM

| ADVISORS

MIKE CALLAN AIF® • AIFA® • CRPS® • CFP®

Managing Partner First Landing Financial, LLC 2101 Parks Ave., Suite 804 Viriginia Beach, VA 23451

BUSINESS STATISTICS Retirement Plans: 40 Retirement Assets: $150,000,000 Participants: 2,500

Team Name: First Landing Financial, LLC Retirement Plans: 40 Retirement Assets: $150,000,000 Participants: 2,500

MISSION STATEMENT Our mission is to offer consulting to 401(k) plans in order to help employers minimize their fiduciary concerns while guiding employees to a more financially secure retirement.

BIOGRAPHY Mike is an industry veteran with more than 36 years of experience. His career began with CIGNA Individual Financial Services in 1984. In 1991, Mike was given the opportunity to become a Trust Officer with Central Fidelity Bank, and while there chose to develop his specialization in the area of Qualified Retirement Plans. In 2009 Mike, along with his two partners, formed First Landing Financial, LLC, in order to deepen and expand the level of services they sought to make available to the marketplace. Mike is a graduate of St. Leo University with a degree in business management. Mike is a member of Team Hoyt Virginia Beach, and currently serves with the Good News Jail and Prison Ministry that exists at the Virginia Beach City Jail. He resides in Virginia Beach with his wife of 46 years. They have two grown children and three incredible grandchildren.

WORKING WITH RETIREMENT PLANS SINCE 1992

51

ADVISORS

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PAUL CARL Vice President Horan Securities, Inc. 4990 E. Galbraith Road Cincinnati, OH 45236

BUSINESS STATISTICS Retirement Plans: 75 Retirement Assets: $1,100,000,000 Participants: 15,000

Team Name: HORAN Retirement Services Retirement Plans: 75 Retirement Assets: $1,100,000,000 Participants: 15,000

MISSION STATEMENT We purposely do not have a mission statement. We have five core values and 27 fundamentals that we live, share and experience day in and day out. I invite you to review our home page for more information: https://www.horanassoc.com/

BIOGRAPHY 52

I am a 35-year retirement industry veteran, including the first eight with the U.S. DOL, EBSA (PWBA actually). With the DOL, I was a Senior Investigator, an expert at reading Form 5500’s for case opening purposes, and an instructor for the Bank/Financial Training. For the past 26 years, I’ve worked with plan sponsors and participants in plan design, operation, investment selection and monitoring and fiduciary services.

Clients have ranged from Master Trusts sponsored by Fortune 50 enterprises to billion dollar KSOPS to “mom-and-pop” startups. I deliver fiduciary expertise and insight to clients in a consultative manner and have undertaken two recent projects to help organizations find the right advisor. My personal goal is to help employers create - or recreate - and operate compliant and purposeful retirement plans that incorporate an organization’s culture and budget while simultaneously creating paths of engaged retirement planning processes for participant employees.

I achieve these goals through creating proactive collateral content, maintaining current on rules, regulations and trends, and working with other retirement plan professional COI’s to learn, develop and implement best practices. https://www.linkedin.com/in/paulcarljr/

WORKING WITH RETIREMENT PLANS SINCE 1986

2020 NAPA D.C. FLY-IN FORUM

| ADVISORS

KELLY CARLSON AIFŽ • CPFA

Managing Director Advizrs, Inc. 111 Bedford Ct. Deland, FL 32724

P TO PA S NAOMEN OR 9

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201

BUSINESS STATISTICS Retirement Plans: 32 Retirement Assets: $135,000,000 Participants: 4,500

Team Name: Advizrs Retirement Plans: 62 Retirement Assets: $235,000,000 Participants: 8,500

MISSION STATEMENT We are dedicated to providing unbiased prudent retirement plan management and consulting services. By educating our clients concerning their fiduciary obligations and retirement plan regulations, we help establish a clear path for compliance and quality service. As plan mentors, we empower clients and their plan participants to achieve success through planning, process and active management. Prudent planning; actionable insights.

BIOGRAPHY Kelly has been in the retirement industry for 25 years, helping plan sponsors and plan participants build effective retirement plan solutions.

The majority of her time is committed to educating clients on plan functions concerning pension related ERISA, IRS and DOL regulations.

She began in 1993, as a pension plan administrator, responsible for plan compliance under ERISA regulations, including plan testing, administration and plan design. After spending several years as a plan administrator, Kelly began working with many large retirement plan providers where she gained valuable insight into how retirement plan products and investments are structured. She has tested, designed, implemented, enrolled and serviced hundreds of retirement plans during the course of her career. Her professional experience also includes performance as director of client relations and managing director, institutional sales. With her comprehensive background in the industry, Kelly was well positioned to start her own retirement plan consulting firm, Advizrs. She focuses now on serving as a plan mentor to employers (corporations and non-profit organizations) with respect to their retirement plans. Her objective is to provide the best value for plan participants, ultimately helping them retire successfully.

WORKING WITH RETIREMENT PLANS SINCE 1992

53

ADVISORS

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MURRAY CARTER AIF® • CFP® • C(K)P™

Executive VP - Wealth Management CSG Capital Partners of Janney Montgomery Scott 1255 23rd St., NW, Suite 810 Washington, DC 20037

BUSINESS STATISTICS Retirement Plans: 35 Retirement Assets: $495,000,000 Participants: 8,750

Team Name: CSG Capital Partners Retirement Plans: 35 Retirement Assets: $495,000,000 Participants: 8,750

MISSION STATEMENT

54

Our clients want the comfort that comes from having an experienced steward and advocate for their plan and participants. Each of our team members specializes in supporting our clients in a particular area of our process. This collaborative approach helps us bring tailored guidance to your retirement plan committee and your employees, resulting in a stronger retirement plan. Consistently recognized as a leading retirement plan team, CSG Capital Partners have developed and refined a process that helps to put all of the puzzle pieces together.

BIOGRAPHY Murray has over three decades of experience in the financial services industry and has achieved the advanced designations of CERTIFIED FINANCIAL PLANNER™, Accredited Wealth Management Advisor, Accredited Investment Fiduciary™, and Certified 401(k) Professional.

He is a recognized leader in the corporate retirement industry and works closely with plan sponsors and retirement committees to ensure that everything from vendor relationships to plan performance is running smoothly. For the second time, Murray was selected as a Top 401 Retirement Advisor by the Financial Times and regularly participates in the DC Fly-In Forum as a member of the National Association of Plan Advisors who recognized the team as a top DC Team. In the spring of 2018, he was honored by the Financial Times in their list of Top 400 Advisors. Growing up in Toronto, Canada, explains his lifelong fandom of the Toronto Maple Leafs and why he still plays hockey. He is a graduate of NC State University and still cheers for the Wolfpack.

He also enjoys playing golf, a fine Bourbon, and traveling with his wife, Janine. They have two daughters and two sons who have all “left the nest.” Myrtle Beach is a frequent destination for family time, rest and golf.

WORKING WITH RETIREMENT PLANS SINCE 1994

2020 NAPA D.C. FLY-IN FORUM

| ADVISORS

CHRISTOPHER CERVANTES AIF® • NAPA CPFA™ • CRPC® • CFP® • CIMA® • C(K)P™ • NQPA

Retirement Benefits Consultant Merrill Lynch One Cowboys Way, Suite 400 Suite D9-157 Frisco, TX 75034

BUSINESS STATISTICS Retirement Plans: 125 Retirement Assets: $400,000,000 Participants: 20,000

Team Name: Cervantes Group & Associates Retirement Plans: 150 Retirement Assets: $500,000,000 Participants: 25,000

MISSION STATEMENT We partner with companies to assist them in helping their employees retire successfully.

BIOGRAPHY Christopher is a Wealth Management Advisor in Merrill Lynch’s Dallas office. He has earned the Certified 401(k) Professional designation awarded by The Retirement Advisor University in collaboration with UCLA Anderson School of Management Executive Education and is also a Certified Financial Planner™, a designation awarded by the Certified Financial Planner Board of Standards, Inc. Christopher provides customized service to 401(k) and profit-sharing plan sponsors and plan participants who are looking to better understand and enhance their retirement programs. He works with each client to make sure that employers understand how their plans are designed, what they are paying for, how the investments are performing and how their plan compares to other plans of similar size in the same industry. Christopher also works with employees to make sure they understand why they need to plan for retirement, how to take advantage of their company’s retirement program, and how to gain confidence over time in being ready to retire.

A graduate of Baylor University with a BBA in Accounting, Christopher has been in the financial services industry since 1995 and has served clients at Merrill Lynch since 1999. He lives in Plano, TX with his wife Laura and two sons. Christopher is the founding president of Winners’ Circle in North Dallas and a past chairman of the Baylor Business Network of Dallas. He is a founding partner and member of NAPA and a platinum sponsor of the Dallas chapter of Financial Executives International. Christopher is active in his church and community.

WORKING WITH RETIREMENT PLANS SINCE 1999

55

ADVISORS

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EDWARD CHAIRVOLOTTI AIFÂŽ

CEO Chairvolotti Financial 631 South Orlando Ave, Suite 103 Winter Park, FL 32789

BUSINESS STATISTICS Retirement Plans: 140 Retirement Assets: $120,000,000 Participants: 2,500

MISSION STATEMENT To help plan sponsors and participants gain a greater financial literacy so we, as the most productive country in the world, can greatly increase our standard of living and retire with dignity while helping the rest of the world fight poverty.

BIOGRAPHY 56

Edward manages a full service brokerage firm as part of the LPL Financial network. Chairvolotti Financial is a retirement plan consulting firm that also provides private wealth management. Edward is a member of RPG (Retirement Partners Group) which is a group of the top 87 retirement plan consultants within LPL that manage 4,000 plans and $80 billion AUM. Chairvolotti Financial currently manages 250 401(k)s, 403(b)s, cash balance and non-qualified retirement plans and more than $275 million AUM. Chairvolotti Financial also manages clients from Florida to New York to Louisiana. Of these plans Edward is acting as either a 3(21) or 3(38) fiduciary advisor on 30 plans. Edward holds FINRA Series 7, 24, 63 and SEC Series 66 licenses and is a retirement plan specialist as a 3(21) or 3(38) Named ERISA Fiduciary Advisor. Edward has a BSBA in finance from University of Central Florida and an MBA from Nova Southeastern University.

WORKING WITH RETIREMENT PLANS SINCE 2005

2020 NAPA D.C. FLY-IN FORUM

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TINA CHAMBERS Sr Retirement Plan Consultant SageView Advisory Group 3650 Mount Diablo Blvd., Suite 201 Lafayette, CA 94556

P TO PA NA MEN RS

O 9 WO VIS 201 AD

BUSINESS STATISTICS Retirement Plans: 18 Retirement Assets: $2,200,000,000 Participants: 10,000

Team Name: SageView Advisory/ Lafayette Retirement Plans: 40 Retirement Assets: $6,200,000,000 Participants: 150,000

BIOGRAPHY Tina Alexander Chambers/ Senior Retirement Plan Consultant for SageView Advisory Group /32 years of industry experience. She works with plan fiduciaries in plan design, implementation and operations, employee education and communication, specializing in supporting committees manage fiduciary responsibilities. Ms. Chambers has been nominated as a Top Female Advisor each year since 2015 and an award winner multiple times, including 2019. Previously, Tina was Director of Retirement Plan Services at a regional registered investment advisory firm. Ms. Chambers was also Vice President / Marketing Manager at Union Bank where she managed marketing, product development and sales support initiatives for employee benefit and trust services.

Ms. Chambers began her career in employee benefits, spending nine years with two large global brokerage firms in business development, retirement plan consulting, marketing and operations. Ms. Chambers graduated summa cum laude with a Bachelor of Science degree in economics and sociology from the University of Massachusetts and spent a semester abroad studying at the University of Stockholm, Sweden. Ms. Chambers is a member of the San Francisco Chapter of the Western Pension & Benefits Council, where she served as a volunteer for 25 years including as Chapter President.

WORKING WITH RETIREMENT PLANS SINCE 1990

57

ADVISORS

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JOHN CHANDLER CEO OnTrack401(k) 3100 Clarendon Blvd #200 Arlington, VA 22204

BUSINESS STATISTICS Retirement Plans: 10 Retirement Assets: $100,000,000 Participants: 2,000

Team Name: OnTrack 401(k) Retirement Plans: 70 Retirement Assets: $220,000,000 Participants: 3,000

BIOGRAPHY

58

John co-founded OnTrack 401(k) in 2009 to provide plan sponsors with a transparent, cost-effective, and compliance-driven approach to retirement plans. Frustrated by the lack of clarity in the industry, particularly regarding fees, John’s focus is on helping plan sponsors better understand the true costs of their plan and how those costs measure up to the level of service they are receiving. John believes every plan should be served by a fiduciary, and the financial services industry should have a strong fiduciary standard.

John lives in Arlington, VA, with his wife Jenn and boys Jack and Max.

WORKING WITH RETIREMENT PLANS SINCE 2010

2020 NAPA D.C. FLY-IN FORUM

| ADVISORS

JEFFREY CHASE CRPS®

Financial Advisor Morgan Stanley 595 S. Federal Highway Boca Raton, FL 33432

BUSINESS STATISTICS Retirement Plans: 17 Retirement Assets: $120,000,000 Participants: 60,000

MISSION STATEMENT My objective is to bring institutional consulting down-market so every American can retire with dignity.

BIOGRAPHY Mr. Chase has enjoyed 30 plus years of retirement plan excellence in all facets of the qualified plan marketplace – distribution, manufacturing and asset management.

WORKING WITH RETIREMENT PLANS SINCE 1989

59

ADVISORS

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LOUIS CHONG AIF® • CRPC® • CFP®

Senior VP Mayflower Advisors LLC 265 Franklin Street, 4th floor Boston, MA 02110

BUSINESS STATISTICS Retirement Plans: 20 Retirement Assets: $150,000,000 Participants: 4,500

Team Name: Mayflower Advisors Retirement Plans: 160 Retirement Assets: $2,400,000,000 Participants: 25,000

MISSION STATEMENT Our mission is to enable the best possible retirement plan outcomes for our participant and plan sponsor clients through objective and honest consulting practices.

BIOGRAPHY 60

Lou Chong is a Senior Vice President at Mayflower Advisors, LLC. He advises corporations and non-profit organizations on how to structure cost efficient and regulatory compliant retirement plans, which are customized to the unique needs of the organization. Lou’s 30 years of experience in senior leadership positions within the retirement plan and institutional investment industry provide a high level of consultative expertise to plan sponsors, helping them to manage compliant plans, construct diversified investment line-ups, identify excessive fees and deploy effective education strategies for participants. Prior to joining Mayflower in 2015, Lou spent over 10 years at Fidelity Investments as Senior Vice President in their Retirement Plans Division. He was also Senior Vice President and head of Defined Contribution Services for Franklin Templeton Investments, managing their 401(k) product. Lou also held a senior position at Hartford Investment Management Company, managing business development of institutional investment strategies for corporate and public pension funds. Lou has his CERTIFIED FINANCIAL PLANNER™ (CFP®) certification, as well as the Chartered Retirement Planning Counselor (CRPC®) and Accredited Investment Fiduciary® (AIF®) designations.

WORKING WITH RETIREMENT PLANS SINCE 1994

2020 NAPA D.C. FLY-IN FORUM

| ADVISORS

TONY CIOCCA AIF®

Managing Director Insitutional Investment Consulting 21 W. Main St., FL 6 Waterbury, CT 06702

BUSINESS STATISTICS Retirement Plans: 22 Retirement Assets: $1,100,000,000 Participants: 15,000

MISSION STATEMENT We provide a holistic approach to your organization’s retirement and executive benefit plan needs. Working with corporations, not for profits, and governmental agencies on all types of retirement plans.

BIOGRAPHY Mr. Ciocca came to IIC from a Leadership Role at PlanSponsor Pathfinder. Mr. Ciocca and IIC were recognized in 2006-2019 by PLANSPONSOR Magazine in articles identifying the nation’s most successful Retirement Plan Consulting teams as one of the largest and most accomplished qualified/nonqualified retirement Plan Consulting teams in the country. He has over 20 years of experience.

WORKING WITH RETIREMENT PLANS SINCE 1997

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ADVISORS

DAVID CLAYMAN AIF® • C(k)P™

CEO/Wealth Advisor Twelve Points Retirement Advisors 9 Pond Lane, Suite 3A Concord, MA 01742

BUSINESS STATISTICS Retirement Plans: 30 Retirement Assets: $185,000,000 Participants: 2,650

Team Name: Twelve Points Retirement Advisors Retirement Plans: 77 Retirement Assets: $500,000,000 Participants: 6,800

MISSION STATEMENT

62

Twelve Points acts as an extension of a company’s HR department. We work with our clients to enhance, coordinate and highlight the benefits being offered so that employees maximize and appreciate their total compensation package. Today’s employment market accentuates the need for companies to showcase their ability to recruit, retain and reward their greatest asset—their workforce.

BIOGRAPHY The proudest moment of my life was when I became an Eagle Scout at the age of 16, so it should come as no surprise that my co-founders and I created a financial services firm based on the 12 principles of scouting.

These include trustworthiness, loyalty, kindness and helpfulness. I began my career in financial services at Paine Webber, now UBS Financial Services. Over the next 12 years I became a Financial Advisor and Sr. Vice President of Investments. I spent the next five years working for Morgan Stanley, where I grew to appreciate the value of providing in-depth financial planning services to my clients to help them focus on their goals and protect their wealth. I have received the Five Star Wealth Manager award from Boston Magazine seven of the last eight years.

Twelve Points (TP) offers a unique global view of the financial markets.

As an independent RIA, every advisor at TP has the freedom to do what is in the client’s best interest without having to worry about sales quotas or proprietary products. For me, it’s really just about the relationships I have with my clients, helping them to focus on and achieve their goals.

WORKING WITH RETIREMENT PLANS SINCE 2009

E M E R G I N G

A D V I S O R

GREG PHILLIPS

2020 NAPA D.C. FLY-IN FORUM

| ADVISORS

RICHARD CLOUSE AIF® • CRPS® • C(k)P™

Managing Director Strategic Retirement Partners 5008 Pine Creek Drive, Suite B Westerville, OH 43081

BUSINESS STATISTICS Retirement Plans: 15 Retirement Assets: $250,000,000 Participants: 8,000

Team Name: Strategic Retirement Partners Retirement Plans: 700 Retirement Assets: $12,000,000,000 Participants: 200,000

MISSION STATEMENT White Oak Advisors, LLC is an institutional retirement plan consulting firm whose ultimate mission is to improve the retirement preparedness and outcomes of participants in the plans it serves.

BIOGRAPHY Ric is the Practice Leader for White Oak’s Columbus, OH office and brings with him over 20 years of experience. An Accredited Investment Fiduciary, Chartered Retirement Plan Specialist, and Certified 401(k) Specialist, he also serves as White Oak’s lead consultant for client engagements.

Ric is a member of the Investment Management Consultants Association. In 2010, he was chosen as a Founding Lecturer for The Retirement Advisor University at the UCLA Anderson School of Management. He was also recognized as one of the 300 Most Influential Defined Contribution Plan Advisors by 401kWire in both 2009 and 2010.

In 2012, he was one of the first 75 individuals to earn the Certified 401(k) Professional designation, C(k)P® awarded by The Retirement Advisor University at the UCLA Anderson School of Management.

WORKING WITH RETIREMENT PLANS SINCE 1995

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MICHELLE COBLE NAPA CPFATM

President Odyssey Financial Group LLC 8801 Commerce Park Drive Oklahoma City, OK 73132

BUSINESS STATISTICS Retirement Plans: 76 Retirement Assets: $100,000,000 Participants: 5,000

Team Name: Odyssey Financial Group LLC Retirement Plans: 76 Retirement Assets: $100,000,000 Participants: 5,000

MISSION STATEMENT We help people build their financial picture so retirement can occur.

We help others transition into retirement by finding the best solutions providing a steady retirement income.

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Michelle is the founder of Odyssey Financial Group LLC and specializes in group and personal retirement plans. She has been a retirement specialist since 2006 and enjoys helping people figure out how they want to live in retirement and a way to get there! She held various corporate positions for over 17 years before starting her own company. Michelle earned degree from the University of Oklahoma and is originally from a small farming community in southwest Kansas. The family farm is still going strong and she attributes her ability to work with a variety of people and businesses based on her upbringing. She lives in Tuttle, OK, where her two children attend school and are busy with a variety of school activities. She’s a member of the Oklahoma City West Rotary Club and a member of the First Baptist Church of Mustang.

WORKING WITH RETIREMENT PLANS SINCE 2006

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TODD COLBURN CRPS® • CFP® • QPFC

Wealth Management Advisor Northwestern Mutual 1600 Division St., Suite 400 Nashville, TN 37203

BUSINESS STATISTICS Retirement Plans: 80 Retirement Assets: $230,000,000 Participants: 5,200

MISSION STATEMENT Our mission is to materially increase the number of Americans who can sustain their standard of living in retirement.

BIOGRAPHY Todd Colburn is a Wealth Management Advisor who partners with business owners, CFOs and human resources professionals to design and prudently manage corporate retirement plans. Through this work, Todd has helped thousands of Americans thoughtfully plan and embrace the behavior that leads to financial security in retirement. He has been named to the Financial Times 401 Top Retirement Advisors each year of its existence. Todd lives in Nashville, TN, with his wife, Jennifer, and six children. He is an active member at Grace Community Church and serves on the boards of directors of the Belmont University Alumni Association, Baptist Collegiate Ministry of Greater Nashville and Jonathan Edwards Classical Academy. He enjoys coaching youth sports, kayaking and camping.

WORKING WITH RETIREMENT PLANS SINCE 1998

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COLMAN COLLINS NAPA CPFATM

Manager CLA 220 South Sixth St. Minneapolis, MN 55402

BUSINESS STATISTICS Retirement Plans: 80 Retirement Assets: $240,000,000 Participants: 4,000

Team Name: CLA Wealth Advisors Retirement Plans: 500 Retirement Assets: $1,200,000,000 Participants: 16,000

MISSION STATEMENT

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CLA exists to create opportunities for our clients, our people, and our communities through industry-focused wealth advisory, outsourcing, audit, tax, and consulting services. With more than 6,200 people, 120 U.S. locations and a global affiliation, we promise to know you and help you. We are dedicated to building an inclusive culture that thrives on different beliefs and perspectives. By welcoming and respecting our clients and each other, we can all experience success. Watch this short video to learn about our unique commitment to those we serve

BIOGRAPHY Colman is responsible for assisting CLA LLP principals, directors, wealth advisors, and staff with selling and servicing qualified retirement plans.

CLA’s retirement planning team designs plans to assist in positioning employees for long-term financial stability, while giving companies a distinct advantage in attracting and retaining talent. Colman has been serving closely held businesses for more than 17 years. He is passionate about providing clients and their employees with customized retirement plan designs and investments that will help them reach their retirement goals. Colman combines experience on the recordkeeper side and advisor side that provides unique perspective on plan design, implementation and administration. He holds a Bachelor’s of Arts from Lake Forest College and sits on the Hobey Baker Memorial Award Committee.

WORKING WITH RETIREMENT PLANS SINCE 2004

E M E R G I N G

A D V I S O R

MELISSA NUNEZ

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JOE CONNELL AIF® • AIFA® • CRPS® • QPFC

Partner Sikich Financial 7014 East Fish Lake Road Maple Grove, MN 55311

BUSINESS STATISTICS Retirement Plans: 47 Retirement Assets: $1,150,000,000 Participants: 9,100

MISSION STATEMENT Sikich offers a formula of professional services uniquely crafted to address your business’s challenges and opportunities. Our comprehensive skillsets, obtained over decades of experience as entrepreneurs, business owners and industry innovators, allow us to provide insights and transformative services to help strengthen every dimension of your business.

BIOGRAPHY Joe Connell is director of Retirement Plan Services at Sikich Financial.

Joe has dedicated the past 15 years to helping organizations improve and enhance their retirement programs. His long-term track record of success is a result of working with hundreds of employers in implementing prudent processes designed to reduce fiduciary liability and plan expenses, meet specific plan objectives, and significantly improve participant outcomes. Joe is a frequent and nationally recognized speaker and presenter to employer and industry groups.

He has conducted hundreds of retirement plan workshops educating employers on the key elements of successful retirement plans. Joe was named to the 2017- 2019 editions of the Financial Times 401 Top Retirement Advisors. The list recognizes the top financial advisors who specialize in serving defined contribution (DC) retirement plans across the U.S. He was also awarded the 2014 Retirement Plan Advisor of the Year by PlanSponsor magazine, which chooses an advisor annually who best represents their mission to help make retirement security a reality for workers across the nation. Joe has had several Plan Sponsor clients recognized by PlanSponsor Magazine as Plan Sponsors of the Year due to their plan design and successful participant retirement metrics.

WORKING WITH RETIREMENT PLANS SINCE 1999

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NICOLE CORNING AIF® • CRPC® • CFP®

Managing Partner Buckman and Corning Financial Strategies 14624 N. Scottsdale Rd., Suite 120 Scottsdale, AZ 85254

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BUSINESS STATISTICS Retirement Plans: 76 Retirement Assets: $464,121,402 Participants: 25,567

Team Name: Buckman and Corning Financial Strategies Group Retirement Plans: 76 Retirement Assets: $464,121,402 Participants: 25,567

MISSION STATEMENT We know it’s not easy for investors to build a trusted relationship with advisors they can count on. That’s why our advice is straightforward and honest, grounded in our planning experience and a goals-driven approach. And we are proud to provide something beyond this measurable benefit—genuine concern for the well-being of our clients.

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BIOGRAPHY Nicole is a Managing Partner of the Buckman & Corning Financial Strategies Group of Wells Fargo Financial Network. She holds several industry designations including, CFP®, CRPC®, and AIF®. She has been part of the finance and banking industry in Scottsdale, AZ since 2001. Nicole is a member of the Retirement Advisor Council and was named one of the Top Women Advisors by the National Association of Plan Advisors, in 2018 and 2019. Prior to coming to Arizona, Nicole worked in Washington D.C. and had the honor of working on two presidential campaigns as well as several senatorial and congressional campaigns around the country. Nicole is a published author, podcast host, and writes a weekly blog that is featured on WorkingMother.com.

She has appeared on the Katie Couric Show and has been featured in Financial Planning Magazine. She is active in the Scottsdale nonprofit community and sits on the advisory board of the Care Fund, is a graduate of Scottsdale Leadership Class of XXIV, and sits on the NAPA Governmental Affairs Committee. Nicole graduated Cum Laude from the University of Massachusetts, Amherst. She has two young sons, three loyal rescue dogs, and has been (mostly) happily married since 2001.

WORKING WITH RETIREMENT PLANS SINCE 2010

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LARRY CROCKER AIFA® • NAPA CPFATM • CRPS® • PRP®

CEO Fiduciary Consulting Group, Inc. 1832 Ward Drive, Suite 101 PO Box 11408 Murfreesboro, TN 37129

BUSINESS STATISTICS Retirement Plans: 65 Retirement Assets: $800,000,000 Participants: 19,000

MISSION STATEMENT Our Firm’s mission is to provide leadership and excellence in professional retirement plan management for employers looking to reduce their risk by outsourcing their fiduciary duties and responsibilities

BIOGRAPHY Larry E. Crocker is a respected industry thought leader for his knowledge of ERISA and fiduciary compliance. He is the Founder and CEO of Fiduciary Consulting Group, Inc., an independent compliance consulting and fiduciary management firm. The Middle Tennessee-based firm serves brokers, advisers, retirement plan sponsors, fiduciaries, plan committees, trustees, board members and institutional clients throughout the United States. As an experienced consultant and analyst, he has assembled a team of professionals that provide the firm’s clients with an unparalleled sense of security, whether guiding them in their management decisions or taking on the responsibility of managing their retirement plan.

Mr. Crocker entered the financial services industry in 1989 and transitioned from advisor to consultant and Independent Fiduciary in 2003. He and the FCG team now focus on the development and implementation of processes that identify and solve procedural prudence and operational compliance issues in the management of retirement plans.

Mr. Crocker has a passion to help clients ease the burden of responsibility in managing their fiduciary duties. He is a certification analyst for the Centre for Fiduciary Excellence (CEFEX) and holds the following designations: AIFA, PRP, PPC, RF, GFS, CPFA, CBFA. He is also a founding member of the Behavioral Governance Society.

WORKING WITH RETIREMENT PLANS SINCE 1992

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ADVISORS

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JEFF CULLEN Managing Partner Strategic Retirement Partners 25434 Prairiewood Lane Shorewood, IL 60404

BUSINESS STATISTICS Retirement Plans: 117 Retirement Assets: $1,750,000,000 Participants: 24,000

Team Name: Strategic Retirement Partners, Great Lakes, Chicago Retirement Plans: 800 Retirement Assets: $12,500,000,000 Participants: 250,000

MISSION STATEMENT

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Strategic Retirement Partners is an independent total retirement consulting firm working with plan sponsors, participants and advisors to create and maintain world class solutions for our clients. We exist for people, organizations and advisors to fulfill their potential, maintain best practices, invest in their future well-being and protect that future. Our core values are innovation, collaboration and partnership.

BIOGRAPHY Over the past 16 years, Jeff has built a national practice by helping organizations align HR strategy and total rewards with participant goals through innovative plan design and fiduciary best practices. As a member of the national SRP Investment Committee, he is a specialist in investment due diligence processes and innovative QDIA strategies. His prior experience in HR outsourcing afforded him a unique perspective for designing plan administrator-centric services to improve operational efficiencies, vendor management, compliance and communication efforts for clients. Jeff is passionate about the continued advancement of the retirement savings industry and ensuring a better future for American workers. To this end, he is actively engaged as an advisory board member to several service providers within the industry and speaks regularly at plan sponsor and industry conferences. For his efforts, he was named as semi-finalist for the 2016 NAPA 401(k) Leadership Award and was named by Financial Times as one of the Top 401 Retirement Advisors of 2016. As SRP, Jeff received the 2017 Innovation Award from his broker-dealer/RIA, Kestra Financial.

WORKING WITH RETIREMENT PLANS SINCE 2004

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A D V I S O R

COLIN HENDRICKS

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MICHAEL CURRY

AIF® • NAPA CPFATM • CRPC® • CRPS® • C(k)P™

Senior Retirement Plan Consultant UBS Financial Services 131 S Rodeo Dr., Suite 300 Beverly Hills, CA 90212

ACES

2020

NAPA’S TOP PLAN ADVISORS UNDER 40

BUSINESS STATISTICS Retirement Plans: 65 Retirement Assets: $100,000,000 Participants: 8,000

Team Name: The Hocking Group Retirement Plans: 250 Retirement Assets: $400,000,000 Participants: 20,000

MISSION STATEMENT Our team is dedicated to helping businesses and individuals plan for retirement. Whether we are partnering with Retirement Plan Sponsors, Retirement Plan Participants or Individual Clients we take a collaborative approach to help address the challenges of today’s retirement plan landscape.

BIOGRAPHY Mike is dedicated to preparing people for their financial future through inspiring action towards retirement savings and investing. He provides guidance to retirement plan sponsors and participants. With years of experience in financial services and investment management, Mike possesses critical expertise in client service, process management and fiduciary oversight. In addition to a B.A. in Marketing Management from the University of New Mexico, Mike holds the Series 7 and 66 securities licenses, the Certified Trust and Financial Advisor designation from the American Bankers Association, the Chartered Retirement Planning Counselor and the Chartered Retirement Plans Specialist designations from the College for Financial Planning.

WORKING WITH RETIREMENT PLANS SINCE 2012

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PAUL D’AIUTOLO AIF® • CRPS® • PRP®

Senior Retirement Plan Consultant UBS 400 Linden Oaks Rochester, NY 14626

BUSINESS STATISTICS Retirement Plans: 70 Retirement Assets: $3,000,000,000 Participants: 40,000

Team Name: The D’Aiutolo, Malcolm & Associates Investment Consulting Group Retirement Plans: 70 Retirement Assets: $3,000,000,000 Participants: 40,000

MISSION STATEMENT

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We believe all working Americans should have the right to retire with dignity. Our team’s mission is to work with our plan sponsors to design and implement a workplace savings program that will successfully provide income adequacy for their employees throughout retirement and to work tirelessly to make sure the employees make confident decisions to realize that success.

BIOGRAPHY Paul started in the qualified plan industry in 1993, which includes working as a 401(k) plan administrator and as an ERISA consultant in both the retail and institutional investment communities. He is the founding principal for the D’Aiutolo Institutional Consulting Team, a member of UBS’ Institutional Consulting and DC Advisory Groups, boutique consulting firms within UBS whose specialty is providing fiduciary services. The team currently provides services to more than 115 ERISA clients, encompassing more than $1.2 billion in retirement plan assets. Paul serves as the team’s lead consultant with clients whose assets are greater than $20 million. Overall, the Institutional Consulting Group at UBS advises more than $63 billion of fiduciary assets, and more than 600 clients.

WORKING WITH RETIREMENT PLANS SINCE 1993

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Here’s to Greater Possibilities Together As defined contribution plan sponsors navigate a world of increasing complexity, we see greater possibilities when we face challenges together.

For more than 30 years, we’ve partnered with plan sponsors and their consultants to help optimize participant outcomes.

Now more than ever, we’re here to help you find those possibilities.

This page is provided by Invesco. This is not to be construed as an offer to buy or sell any financial instruments. Invesco Distributors, Inc. invesco.com/dc

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ADVISORS

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CORBY DALL Morale Officer 401k Advisors Intermountain 8706 South 700 East, Suite 104 Sandy, UT 84070

BUSINESS STATISTICS Retirement Plans: 160 Retirement Assets: $3,500,000,000 Participants: 50,000

Team Name: 401k Advisors Intermountain Retirement Plans: 160 Retirement Assets: $3,500,000,000 Participants: 50,000

MISSION STATEMENT We feel that the highest form of recognition an employer can offer a valued employee is a way for them to retire comfortably. We help employers deliver on this. We have a clear passion to help as many people as possible retire with dignity and it is manifest in everything we do.

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BIOGRAPHY In his more than 25 years in retirement plan consulting, Corby has never met someone he doesn’t like. He honed his people skills as a founding member of National Retirement Partners (NRP) and played an integral part in building the first retirement plan focused advisor platform, paving the way for the successful retirement plan advisor service models we see today. Corby leads a well-respected team and provides that all-important grey hair for an air of confidence. Starting in the financial services world in the ’80s, Corby quickly realized the need for honest advice and wanted to help as many people as possible. This passion led to a clear path: partnering with employers to help as many people as possible retire with confidence and dignity. He has helped countless companies stop thinking of “401k” as a four-letter word while creating thousands of successful retirement outcomes. Corby has been recognized as one of the Top 100 Retirement Plan Advisors by PLANADVISER magazine and is a founding member of NAPA, currently serving on the Government Affairs Committee. He serves on several industry advisory boards and works closely with policymakers, legislators and regulators to help shape future retirement policy. He enjoys spending time teaching financial awareness to local youth, and volunteers with several youth groups.

WORKING WITH RETIREMENT PLANS SINCE 1990

2020 NAPA D.C. FLY-IN FORUM

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KELLI DAVIS

AIF® • C(k)P™

Vice President of Retirement Plan Consulting CSi Advisory Services 900 E. 96th St., Suite 325 Indianapolis, IN 46240

ACES

2020

NAPA’S TOP PLAN ADVISORS UNDER 40

BUSINESS STATISTICS Retirement Plans: 72 Retirement Assets: $185,000,000 Participants: 6,000

Team Name: CSi Advisory Services Retirement Plans: 185 Retirement Assets: $550,000,000 Participants: 14,000

MISSION STATEMENT Our promise is personal, our dedication is authentic. We are aligned with our clients We are attentive and authentic We collaborate with plan sponsors to understand the company’s goals. We provide fiduciary education to plan sponsors and plan trustees. We innovate on employee education and engagement. We provide impartial advice, and act with skill, care and diligence. We provide full and fair disclosure, including our compensation from the providers of the products and services we offer.

BIOGRAPHY Kelli is the Vice President of Retirement Plan Consulting at CSi Advisory Services. Since 2004, Kelli has been dedicated to helping individuals reach their retirement goals. She takes a great interest in what clients do with their free time to learn better ways to guide them towards achieving financial success. She believes that qualified retirement plans have become an essential part of people’s financial lives. With defined benefit pension plans becoming increasingly rare, 401(k) and 403(b) plans are necessary vehicles to allow people to save for retirement. That is why Kelli dedicates much of her to helping employers offer quality retirement plans, so their employees can save for a comfortable retirement. Kelli holds a B.S. in Economics from DePauw University. She has earned her Accredited Investment Fiduciary, AIF®, and Certified 401(k) Professional, C(k)P, designations. She is a proud wife and mom of twins living in Indianapolis.

WORKING WITH RETIREMENT PLANS SINCE 2008

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JOE DeBELLO CRPS® • NQPA • QPA

Retirement Plan Consultant Chepenik Financial 429 S. Keller Rd. Orlando, FL 32806

ACES

2020

NAPA’S TOP PLAN ADVISORS UNDER 40

BUSINESS STATISTICS Retirement Plans: 80 Retirement Assets: $650,000,000 Participants: 50,000

Team Name: Chepenik Financial Retirement Plans: 130 Retirement Assets: $1,400,000,000 Participants: 120,000

MISSION STATEMENT To ensure each and every plan sponsor has the tools and processes needed to ensure their employees of all backgrounds can retire comfortably on their own terms.

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As a Retirement Plan Consultant for Chepenik Financial, Joe has 10 years of Industry experience and works with plan fiduciaries to help them operate their retirement plans most efficiently. He has particular expertise in data management and the payroll ecosystem, and plan sponsors especially value Joe for his responsiveness and problem-solving skills.

Because of Joe’s dedication to his clients and demonstrated excellence, he has been recognized as two-time NAPA Top Retirement Plan Adviser Under 40 and Employee Benefit Adviser magazine Rising Star 2019. Joe has a BA from Colgate University.

WORKING WITH RETIREMENT PLANS SINCE 2009

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KRISTEN DEEVY C(k)P™

Managing Director P TO PA S NAOMEN OR 9

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Pensionmark 1979 W. Littleton Blvd.

Littleton, CO 80123

BUSINESS STATISTICS Retirement Plans: 34 Retirement Assets: $200,000,000 Participants: 8,000

MISSION STATEMENT Pensionmark is a nationwide independent retirement plan consulting firm that advises employers and plan fiduciaries in the understanding and fulfillment of their responsibilities to the plan, participating employees, and beneficiaries. Our focus and core competency is employer and employee services for defined contribution, defined benefit and nonqualified plans. We have built a team of 190 dedicated and experienced professionals located in 40 offices throughout the United States, with one guiding purpose: to help employers and their employees maximize their retirement savings plans

BIOGRAPHY Kristen delivers strategies, systems, and services for qualified retirement plans, with a specific emphasis on managing fiduciary plan risk for clients. Services include investment analysis, plan design, fee benchmarking, and employee communications. She also has extensive knowledge with health savings accounts and provides executive benefit offerings to her clients. Kristen helps clients enhance investment opportunities for participants while finding ways to offer fiduciary protection for the employers we work with.

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ADVISORS

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BARBARA DELANEY Principal SS/RBA, A division of HUB International 20 North Main Street Pearl RIver, NY 10965

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BUSINESS STATISTICS Retirement Plans: 35 Retirement Assets: $2,500,000,000 Participants: 19,700

Team Name: SS/RBA Retirement Plans: 73 Retirement Assets: $3,000,000,000 Participants: 50,000

MISSION STATEMENT COMPLETE COMMITMENT. NO EXCUSES

BIOGRAPHY

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Barbara Delaney currently serves as Senior Vice President with StoneStreet, a Division of HUB International Northeast Limited. As part of the dedicated Retirement and Private Wealth division, Barbara is a seasoned fiduciary advisor, specializing in financial wellness and retirement plan consulting services to defined benefit, defined contribution and non-qualified plans.

Based out of Pearl River, NY, Barbara holds nearly 40 years of experience. Prior to founding StoneStreet in 1998, Barbara was the Managing Director Retirement Services at Tribus Companies for nearly 12 years. She joined HUB International through HUB’s acquisition of StoneStreet in September of 2019.

Highly recognized and nationally acclaimed, Barbara was the recipient of the National Association of Plan Advisors’ (NAPA) 401(k) Summit Leadership Award* in 2016, in addition to receiving many other awards and honors throughout her tenure.

Barbara earned a Bachelor of Arts degree in Business Administration and Economics from St. Thomas Aquinas College and attended the New York University’s Stern School of Business. She is a licensed life & health insurance broker and holds Series 7, 24 and 63 securities registration through LPL. Outside of work, Barbara sits on multiple advisory boards, is a Government Affairs Committee Member of the American Society of Pension Professionals & Actuaries (NAPA), and is a member of the NAPA Leadership Council.

WORKING WITH RETIREMENT PLANS SINCE 1999

2020 NAPA D.C. FLY-IN FORUM

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JOSEPH DENOYIOR AIF® • NAPA CPFA™ • C(k)P™

President HUB International/GRP 8300 Greensboro Drive, Suite 700 McLean, VA 22102

BUSINESS STATISTICS Retirement Plans: 211 Retirement Assets: $2,175,000,000 Participants: 39,500

BIOGRAPHY Joe is the Chief Executive Officer of Washington Financial Group, a GRP Member Firm. Since 1990, he has maintained a commitment to building an organization centered on client needs that seeks to provide unsurpassed service and independent advice with a focus on outcomes.

Joe is proud to lead the team at Washington Financial Group that was named the 2017 PLANSPONSOR Retirement Plan Adviser Small Team of the Year. Currently, Joe is a Board Member of the American Retirement Association. He is a Past President of NAPA. He was named to the 2018 Financial Times Top 401 Retirement Plan Advisors list as well as one of PLANADVISER’s 2018 Top 100 Retirement Plan Advisers.

Fun Fact: Joe has been on a lifelong quest to find the perfect slice of pizza.Joe, his wife Stacy and son Anthony live in Vienna, Virginia. He is active in the hockey community as both a coach and a player.

WORKING WITH RETIREMENT PLANS SINCE 1990

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CRAIG DEWEY AIF® • NAPA CPFA™

Managing Director Strategic Retirement Partners 111 Bulifants Blvd., Suite D Williamsburg, VA 23188

BUSINESS STATISTICS Retirement Plans: 37 Retirement Assets: $342,000,000 Participants: 4,300

MISSION STATEMENT Strategic Retirement Partners is a world-class, independent total retirement consulting firm working with plan sponsors, participants and advisors to create and maintain world-class solutions for our clients. Our core values are innovation, collaboration and meritocracy.

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An industry veteran with more than 40 years of experience, Craig’s career began with The Equitable in 1976 where he completed the Chartered Life Underwriter (CLU) and Chartered Financial Consultant (ChFC) designations. In 1997, Craig formed Cypress Group, LLC, to handle the unique needs of retirement plans.

Prior to joining Strategic Retirement Partners as a Managing Director of the Mid-Atlantic regional office, Craig was a Managing Director affiliated with 401(k) Advisors where he was charged with assisting plan sponsor clients to adopt ongoing fiduciary best practices, including investment due diligence, fee benchmarking and plan compliance and design.

Craig is a graduate of William & Mary with degrees in both History and Education. He resides in Williamsburg with his wife of 40 years. They have two grown children.

WORKING WITH RETIREMENT PLANS SINCE 1980

2020 NAPA D.C. FLY-IN FORUM

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JOE DILLON CFP®

Managing Director - Retirement Plan Solutions Curi Capital 700 Spring Forest Rd., Suite 235 Raleigh, NC 27609

BUSINESS STATISTICS Retirement Plans: 12 Retirement Assets: $150,240,000 Participants: 1,000

MISSION STATEMENT N/A

BIOGRAPHY I’ve been in the retirement plan and investment advisory business for my entire career, working with industry leaders–Fidelity, Principal, and CAPTRUST–before being recruited to lead the retirement plan advisory arm for a new firm, Curi Capital. My experience spans the retirement plan spectrum: defined contribution, defined benefit and nonqualified plans. Plans have ranged from start-ups to multi-billion dollar single and multi-employer plans.

WORKING WITH RETIREMENT PLANS SINCE 2003

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STEVEN DIMITRIOU AIF® • QPFC

Managing Partner Mayflower Advisors, LLC 265 Franklin Street, 4th Floor Boston, MA 02110

BUSINESS STATISTICS Retirement Plans: 150 Retirement Assets: $2,500,000,000 Participants: 25,000

MISSION STATEMENT Our mission is to enable the best possible retirement plan outcomes for our participant and plan sponsor clients through objective and honest consulting practices.

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Steve is a Managing Partner at Mayflower Advisors, LLC with 28 years of industry experience. Steve served as NAPA’s first President-Elect for two years before becoming President in 2014. He is currently President of the American Retirement Association after serving on the Leadership Council since its formation. The ARA is the parent organization to NAPA, ASPPA, ASEA, NTSA and the PSCA. Steve was also a founding member of the Retirement Advisory Council (RAC) and has served on numerous vendor advisory boards. In 2009, Steve was named PLANSPONSOR Retirement Plan Adviser of the Year and in 2010 runnerup for the ASPPA-Morningstar Leadership Award. Steve was named repeatedly to PlanAdviser Magazine’s “Best of the Best” and Top 100 Retirement Advisors lists and was inducted into the inaugural class of the PLANADVISER Hall of Fame. He was named to The 401kWire’s Most Influential Defined Contribution Advisors list repeatedly and The Financial Times’ Top 401 Advisors list from 2015 - 2018. Steve graduated from Colby College with B.A.s in Honors Physics and Economics. Before forming Mayflower Advisors, he was a Managing Director at H. C. Wainwright, VP in Alex Brown’s Retirement Plan Services group and one of the original members of MFS’ Retirement Sales Team.

WORKING WITH RETIREMENT PLANS SINCE 1991

2020 NAPA D.C. FLY-IN FORUM

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STEPHEN DOBROW AIF® • NAPA CPFA™ • CPC • QPA • QPFC

President Primark Benefits 875 Mahler Rd., Suite 105 Burlingame, CA 94010-1606

BUSINESS STATISTICS Retirement Plans: 175 Retirement Assets: $142,000,000 Participants: 13,500

MISSION STATEMENT Our mission is to help individuals and employers create savings programs that lead to a safe and secure retirement.

BIOGRAPHY Stephen is President of Primark Benefits, a pension consulting, actuarial and record keeping firm based near San Francisco. He also is a Registered Representative with Global Retirement Partners/LPL Financial. Stephen entered the retirement field in 1976 and has led Primark Benefits since 1990. He is a past president of the American Society of Pension Professionals & Actuaries (ASPPA), holds many retirement industry designations and is licensed to practice before the IRS as an Enrolled Retirement Plan Agent. Stephen holds a degree in Management from Golden Gate University. His diverse client base continues to grow and includes professional service organizations, small business owners, high-tech and manufacturing companies, financial groups, banks, nonprofit organizations, building trades, retail businesses, consulting practices, art galleries and product distributors.

WORKING WITH RETIREMENT PLANS SINCE 1976

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ADVISORS

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CRAIG DRAPER NQPA

Vice President CAPTRUST 3100 Village Point Dr., Suite 200 Chesterton, IN 46530

BUSINESS STATISTICS Retirement Plans: 42 Retirement Assets: $175,000,000 Participants: 3,200

Team Name: Lakeside Wealth Management Retirement Plans: 187 Retirement Assets: $1,200,000,000 Participants: 25,000

BIOGRAPHY Craig joined CAPTRUST in 2020 as a vice president and financial advisor charged with helping plan sponsors to mitigate their fiduciary responsibilities, lead fiduciary training for retirement plan committees, and serving as the lead advisor to plan sponsors for investment oversights, compliance fulfillment, best practices, and plan governance.

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Prior to joining CAPTRUST, Craig spent more than seven years with Lakeside Wealth Management, a firm specializing in financial planning, fiduciary and corporate qualified plan consulting, small business services, risk and asset management, and estate, tax, and life insurance planning since 2002. There, he served as in-house counsel and director of qualified plans. Prior to his work at Lakeside, Craig served as a senior relationship manager and assistant vice president at Wells Fargo Institutional Trust Group.

When he is not at the office or with a client, he enjoys time at the beach, learning about wine, and making time to support the Riley Hospital for Children and Ronald McDonald House Charities.

WORKING WITH RETIREMENT PLANS SINCE 1995

2020 NAPA D.C. FLY-IN FORUM

| ADVISORS

DEVYN DUEX

AIF® • NAPA CPFATM • CRPS® • C(K)P™

Vice President-Financial Advisor

TO

CAPTRUST 24 E. Cota Street, Suite 200 Santa Barbara, CA 93101

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BUSINESS STATISTICS Retirement Plans: 28 Retirement Assets: $1,386,761,711 Participants: 18,413

Team Name: CAPTRUST Santa Barbara Retirement Plans: 54 Retirement Assets: $1,902,892,879 Participants: 22,605

MISSION STATEMENT Our mission is to enrich the lives of our clients, colleagues, and communities through sound financial advice, integrity, and a commitment to service beyond expectation.

BIOGRAPHY Devyn was named to the Top Women Advisors list by the National Association of Plan Advisors 2018 and 2019 (Captain), 2016 (Allstar), 2017, and recognized as one of the nation’s most influential retirement plan advisors by 401kWire (2009-2011). Additionally, ahe was recognized as one of the Top Women in Business in 2012 by the Pacific Coast Business Times, and in 2013 was honored to be a part of the Pensionmark team recognized as the inaugural recipient of the PLANSPONSOR Retirement Plan Adviser Multi-office Team of the Year. Devyn holds an MBA-Marketing degree from the University of Phoenix and received her BA in Theatre Arts, Magna Cum Laude, from Point Park University in Pittsburgh, PA. Prior to her current role as VP Financial Advisor-CAPTRUST, Devyn served as VP of Client Relations at Pensionmark, assisting in their rapid expansion, from two locations to a national presence since joining the team in 2006. Specialization in fiduciary/risk management policies, and travels across the nation speaking to clients, participants, and industry professionals about various retirement plan topics. Devyn is unapologetically passionate about helping businesses, the people within them, and the world around us. Community Service: (former President) CAPTRUST Community Foundation, President Peabody Charter Foundation and Nebula Dance Lab.

WORKING WITH RETIREMENT PLANS SINCE 2004

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JEAN DUFFY AIFA® • NAPA CPFA™

Sr. VP CAPTRUST Financial Advisors 4401 Westown Parkway, Suite 220 West Des Moines, IA 50266

P TO PA S NAOMEN OR 9

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BUSINESS STATISTICS Retirement Plans: 42 Retirement Assets: $2,200,000,000 Participants: 10,000

Team Name: CAPTRUST Iowa Retirement Plans: 110 Retirement Assets: $3,600,000,000 Participants: 20,000

MISSION STATEMENT Our mission is to enrich the lives of our clients, colleagues, and communities through sound financial advice, integrity and a commitment to service beyond expectation.

BIOGRAPHY 86

Jean has worked with retirement plan sponsors and participants her entire career of 30 years. Jean works with high level executives and is charged with running the retirement committee meetings for organizations from 10 to 5,000 employees. She received her undergraduate degree in the area of Financial Resource Management and Financial Planning. Jean holds the Series 6, 63, and 7 Licenses. She was the first person in Iowa to obtain the AIFA designation (Accredited Investment Fiduciary Auditor) and enjoys working with retirement plan sponsors to improve their fiduciary practices. Jean also has the earned the industry designations of Certified Plan Fiduciary Advisor and Accredited Retirement Plan Consultant. Jean has been ranked by both PLANSPONSOR magazine and PLANADVISOR magazine as one of the most Successful Retirement Plan Advisors in the country. She was named by the National Association of Plan Advisors as one of the Top Women Advisors in 2015, 2016, 2017, 2018, and 2019. Jean and her team have been recognized as on of the Top 50 Retirement Plan Consulting teams in the nation by both National Association of Plan Advisors and Barrons.

WORKING WITH RETIREMENT PLANS SINCE 1999

2020 NAPA D.C. FLY-IN FORUM

| ADVISORS

KRISTIN DUNLEVY AIF® • QPFC

VP - Senior Retirement Plan Advisor PNC Institutional Asset Managemnt 101 South Fifth Street, 6th Floor Louisville, KY 40202

BUSINESS STATISTICS Retirement Plans: 37 Retirement Assets: $432,657,376 Participants: 7,498

Team Name: PNC Institutional Asset Management Retirement Solutions Retirement Plans: 675 Retirement Assets: $8,214,817,990 Participants: 156,141

MISSION STATEMENT At PNC Institutional Asset Management, our mission is to help guide corporations, governments, non-profits, and other institutional investors to solutions that optimize the steps in investing and retirement. Our culture, service and solutions differentiate and create value. We stand for trusted relationships, flawless execution, specialized capabilities, and actionable insight.

BIOGRAPHY Kristin Dunlevy provides clients with 20+ years of fiduciary investment advisory experience for employer-sponsored retirement plans. She earned her Bachelor of Science in Mathematics with Magna Cum Laude from the University of Louisville. Kristin has co-authored two books, been quoted in local and international publications from London’s Financial Times to The Louisville Business First and served on the task force committee of the Kentucky State Public Pension Plans. Also, she has been on ASPPA Government Affairs (general) Committee and the Louisville Employee Benefits Council Executive Committee. During her career, she has functioned as Managing Director of Investments and Fiduciary Investment Adviser with some of the regions largest employers.

She believes that through awareness, inspiration and determination, that anyone and everyone can prosper – at anything.

WORKING WITH RETIREMENT PLANS SINCE 1997

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ADVISORS

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MARK EIDLIN CPFA • CRPC® • C(K)P™

Senior Vice President Merrill Lynch 1241 Pittsford-Victor Road Pittsford, NY 14534

BUSINESS STATISTICS Retirement Plans: 46 Retirement Assets: $225,000,000 Participants: 3,125

Team Name: Eidlin-Kilmer & Associates Retirement Plans: 46 Retirement Assets: $225,000,000 Participants: 3,125

MISSION STATEMENT Growing up in a family of entrepreneurs, Mark understands the unique needs of the business owners he works with, offering financial advice as they establish, grow and ultimately transition their company. He derives great satisfaction from assisting clients in integrating the various elements of their financial lives so they can pursue their personal and financial goals on their own terms.

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BIOGRAPHY Mark brought his financial acumen to Merrill Lynch in 1992 and served as the producing complex sales manager from 2000 through 2008.

Mark holds the Chartered Retirement Planning Counselor (CRPC®) designation, awarded by the College for Financial Planning and the Certified 401(k) Professional (C(k)P®) designation, awarded by The Retirement Advisor University in collaboration with UCLA Anderson School of Management Executive Education. He has also earned the Certified Private Wealth Advisor® (CPWA®) designation. He is designated

by Merrill Lynch Wealth Management as a Retirement Benefits Consultant and as a Defined Contribution Investment Consultant, working with corporate and Institutional retirement plans of $10 million or more. In 2015, Mark was listed as one of the Financial Times 401 Top Retirement Plan Advisors. Mark graduated from Boston University with bachelor’s degrees in both economics and political science and earned his MBA from Cornell University. He is also a graduate of the National School of Commercial Lending at Southern Methodist University’s Cox School of Business. Mark was named to Forbes “Best-in-State Wealth Advisors” list in 2018 and 2019. He serves as Chairman of the Board of Directors at Highland Hospital. Mark has two children, Amanda and Rex, and resides in Pittsford with Salley Thornton.

WORKING WITH RETIREMENT PLANS SINCE 1994

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WALTER EIFE AIFŽ • QPFC

President Retirement Plan (k)onsultant 20 East Redman Ave. Haddonfield, NJ 08033

BUSINESS STATISTICS Retirement Plans: 22 Retirement Assets: $105,000,000 Participants: 2,100

MISSION STATEMENT To work with companies that are interested in creating a top notch retirement plan benefit regardless of the plan or company size and to assist those employees in understanding their responsibility to their retirement and how to best prepare for it over their working careers.

BIOGRAPHY Walt has primary responsibility for managing the retirement plan business for McLaughlin Asset Management. Prior to McLaughlin, Walt worked as an independent advisor with ING with a team of five advisors and was a regional vice president for Commerce Capital Markets, the advisor subsidiary of Commerce Bank, with responsibilities for the Pennsylvania, New Jersey and Delaware markets. Walt is certified by Fi360 as an Accredited Investment Fiduciary.

WORKING WITH RETIREMENT PLANS SINCE 1997

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CARMELA ELCO

AIF®

Principal Cerity Partners 227 W Monroe St. Chicago, IL 60606

P TO PA S NAOMEN OR 9

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201

BUSINESS STATISTICS Retirement Plans: 13 Retirement Assets: $260,000,000 Participants: 3,000

Team Name: Cerity Partners Retirement Plan Services Retirement Plans: 150 Retirement Assets: $22,000,000,000 Participants: 150,000

MISSION STATEMENT To positively impact the financial lives of our clients.

BIOGRAPHY 90

Carmela is a Principal in the firm’s Retirement Plan Services Group, helping plan sponsors comply with the ever-changing rules and regulations to build effective and competitive retirement plans. She has extensive training as a human resources professional and in investment analytics. Prior to joining Cerity Partners, Carmela was a Managing Director and Senior ERISA Consultant with Blue Prairie Group where she helped clients work through complex and sensitive retirement plan mergers, build thoughtful and responsible defined benefit replacement plans and monitor investments. She began her career with RESOURCES for Retirement, serving first as Vice President of Client Services responsible for the firm’s investment advisory services, and then as President. Carmela led the firm with the same dedication to superior client service that she had in her previous role. Carmela earned her Master of Arts in Human Resources Management from St. Francis University. She holds the Accredited Investment Fiduciary (AIF®) and Certified Behavioral Finance Analyst (CBFA) designations. In 2015, 2017 and 2018, Carmela was named one of the Top Women Advisors in the country by the National Association of Plan Advisors (NAPA). Carmela has also testified before the U.S. Department of Labor’s ERISA Advisory Council on target-date fund analysis.

WORKING WITH RETIREMENT PLANS SINCE 1994

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WENDY ELDRIDGE NAPA CPFATM

Partner Aurum Wealth Management Group 6685 Beta Drive Mayfield Village, OH 44143

P TO PA S NAOMEN OR 9

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201

BUSINESS STATISTICS Retirement Plans: 45 Retirement Assets: $240,000,000 Participants: 3,400

Team Name: Aurum Wealth Management Group Retirement Plans: 85 Retirement Assets: $390,000,000 Participants: 5,500

MISSION STATEMENT Aurum Wealth’s mission is to provide you with the resources, expertise and technology to help you become an effective CEO of your money.

BIOGRAPHY Wendy obtained her Bachelor of Business Administration from Bowling Green State University and her Master’s in Business Administration from Kent State University. Wendy is one of the owners of Aurum Wealth Management Group. As the partner of the firm’s retirement plan services practice, Wendy is responsible for the management and execution of the practice’s strategic goals, including business development, relationship management and client service initiatives. Known for her passionate and hands-on approach, Wendy’s many years of retirement plan expertise allow her to deliver customized guidance and advice to plan sponsors and participants alike. Wendy is a nationally recognized retirement plan advisor, enabling her to leverage her industry knowledge across all facets of an organization’s retirement plan. She was awarded the most prestige honor of NAPA’s 2019 Top Women Advisors. She was also named a Who to Watch in Finance from Crain’s Cleveland Business. She is currently a member of the WiPN Cleveland Chapter and the ACG Cleveland Chapter. She is also on the Loyola Society Board at Saint Ignatius High School in Cleveland, OH.

WORKING WITH RETIREMENT PLANS SINCE 2000

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ADVISORS

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KELLY FAMIGLIETTA AIF® • NAPA CPFA™ • C(k)P™

Partner Charles Stephen and Company, Inc. 5951 Jefferson Ct. NE, Suite D Albuquerque, NM 87109

P TO PA S NAOMEN OR 9

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BUSINESS STATISTICS Retirement Plans: 112 Retirement Assets: $204,000,000 Participants: 6,000

MISSION STATEMENT We educate, engage and inspire our clients by providing a full range of financial services through a team of trusted advisors. Core Values: HEART - We make a difference in the lives of others.

INTEGRITY - We do what is right, all the time.

EXCELLENCE - We deliver the best in all that we do.

RESPECT - We encourage and value different ideas, experiences, perspectives and backgrounds.

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BIOGRAPHY Kelly joined Charles Stephen in 1997 and specializes in helping companies navigate the complexities of retirement and fiduciary responsibility. Kelly has earned the C(k)P, APA, APR, AIF, NSSA, CPFA and CRC designations. Kelly is a graduate of the University of New Mexico. In 2012, 401k Wire recognized her as one of the top defined contribution advisors in the United States. Kelly has been recognized nationally as one of 50 women “Top Women Advisors” by the National Association of Plan Advisors for 2016 and 2019. Kelly was named as one of the 401 “Top Retirement Advisers” in 2019 by Financial Times. In 2017 Kelly was one of 27 women in New Mexico to be honored with the Albuquerque Business First’s “Women of Influence” award and in 2018 was honored with the AssetMark Community Inspiration Award for all of her dedication to the Albuquerque community. Kelly is an active board member for the Domestic Violence Resource Center of New Mexico, the Albuquerque chapter of Campfire USA and the community council of the National Dance Institute of NM as well as the Central New Mexico Community College Foundation.

WORKING WITH RETIREMENT PLANS SINCE 1997

2020 NAPA D.C. FLY-IN FORUM

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JUSTIN FEATHER

NAPA CPFA™ • CRPC® • CRPS® • C(k)P™

Consultant Newport Group 300 Primera Blvd Lake Mary, FL 32746

BUSINESS STATISTICS Retirement Plans: 30 Retirement Assets: $5,500,000,000 Participants: 34,000

Team Name: Newport Group Consulting Retirement Plans: 70 Retirement Assets: $25,000,000,000 Participants: 77, 000

MISSION STATEMENT To provide direct investment and fiduciary advice to institutions through innovative solutions supported by a disciplined process, objective research and insightful thinking.

BIOGRAPHY Justin Feather is responsible for providing qualified plan consulting services to institutional retirement plan clients. He works proactively with plan sponsors to help manage their non-investment related obligations under ERISA. Justin assists clients in determining the value of total plan expenses and provides fiduciary education to retirement plan committees. Additionally, he advises clients on their fiduciary governance, service provider relationships, participant education and communication programs, and 404(c) compliance. He has more than 15 years of experience in the industry. Prior to joining Newport Group, he served as a retirement benefits consultant at Merrill Lynch where he worked with plan sponsors to construct and manage effective and efficient benefit programs. In addition, he educated plan participants on retirement and financial wellness. Justin earned his bachelor’s degree in economics from the University of Central Florida. He holds several designations including Certified 401(k) Professional (C(k)P), Certified Plan Fiduciary Advisor (CPFA) and Chartered Retirement Plans Specialist (CRPS®). Justin also holds FINRA Series 7, 26, 63 and 65 securities registrations.

WORKING WITH RETIREMENT PLANS SINCE 2004

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ADVISORS

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DAN FIENBERG AIF® • CFP® • C(k)P™

Managing Director-Investments The HF Group of Wells Fargo Advisors 1999 Avenue of the Stars, Suite 2200 Los Angeles, CA 90067

BUSINESS STATISTICS Retirement Plans: 30 Retirement Assets: $225,000,000 Participants: 4,000

Team Name: The HF Retirement Gorup of Wells Fargo Advisors Retirement Plans: 70 Retirement Assets: $450,000,000 Participants: 10,000

MISSION STATEMENT At the HF Retirement Group, we place our clients at the center of everything we do. Our mission is to establish, grow, and maintain strong client-advisor relationships by providing personal attention and preferred access to the best financial resources available in the marketplace.

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BIOGRAPHY Co-founder and Managing Director-Investments of The HF Retirement Group of Wells Fargo Advisors, Dan is the “F” in The HF Retirement Group and plays an integral part in our clients’ lives. Having earned the CERTIFIED FINANCIAL PLANNER® designation, he is a specialist in creating comprehensive wealth plans. Our clients often refer to him as their personal “CFO.” Being a retirement plan industry leader, Dan holds the Certified 401(k) Professional C(k)P®, the Accredited Investment Fiduciary AIF®, and the Institutional Plan Fiduciary Consultant (IPFC) retirement designations.

Dan also holds his Series 7 and 66 securities registrations, his California Real Estate License, and his CA Insurance & Long Term Care Licenses.

Dan earned an MBA with a specialty in Finance and Entrepreneurial Studies at the University of Southern California and a Financial Planning designation from the University of California at Los Angeles. Dan also earned a B.S. in Business Management with a minor in Economics from San Diego State University.

Dan started his career as a business management consultant, specializing in financial analysis and assisting businesses as an interim CFO. Prior to joining Wells Fargo Advisors, Dan spent 10 years at Merrill Lynch as a Wealth Management Advisor and formed The HF Retirement Group with Guy Horner.

WORKING WITH RETIREMENT PLANS SINCE 2005

2020 NAPA D.C. FLY-IN FORUM

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TYLER FINLINSON CIMA®

Managing Partner Soltis Investment Advisors 20 N Main Street, Suite 400 St. George, UT 84770

BUSINESS STATISTICS Retirement Plans: 108 Retirement Assets: $3,500,000,000 Participants: 80,000

Team Name: Soltis Investment Advisors Retirement Plans: 108 Retirement Assets: $3,500,000,000 Participants: 80,000

MISSION STATEMENT To create, build, and manage wealth so our clients are free to pursue life’s most important endeavors.

BIOGRAPHY As a Senior Advisor with Soltis, Tyler is actively involved in the development and implementation of comprehensive investment solutions for both institutional and individual clients. Prior to joining Soltis, Tyler spent 5 years working with the Russell Investment Group, one of the largest institutional investment consulting institutions in the world.

Russell currently consults to more than $2 trillion in assets globally.

Tyler’s responsibilities included consulting with clients in asset allocation, money manager evaluation, and capital market modeling. Soltis’ success in working with institutions and high net worth individuals enables him to continue to provide innovative and leading investment strategies specifically tailored to these clients.

Tyler received his B.S. degree in Finance from Southern Utah University and an MBA from Pacific Lutheran University’s Management School in Washington state. Tyler also completed the CIMA designation through the University of Pennsylvania’s Wharton School of Business and is a member of the Investment Management Consultants Association.

WORKING WITH RETIREMENT PLANS SINCE 2002

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DEREK FIORENZA AIF® • NAPA CPFA™ • C(K)P™

COO / CCO Summit Group Retirement Planners, Inc. 431 Exton Commons Coatesville, PA 19320

ACES

2020

NAPA’S TOP PLAN ADVISORS UNDER 40

BUSINESS STATISTICS Retirement Plans: 45 Retirement Assets: $110,000,000 Participants: 4,200

Team Name: Summit Group Retirement Planners, Inc. Retirement Plans: 45 Retirement Assets: $110,000,000 Participants: 4,200

MISSION STATEMENT

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Summit Group Retirement Planners was founded with the goal of assisting our clients in every aspect of their financial lives. We’ve provided among the most comprehensive and personal service available, thus earning a reputation for excellence in our industry. For each of our clients, we strive to create financial stability and security; to provide financial independence and confidence; and to create the ultimate retirement planning experience one relationship at a time.

BIOGRAPHY Derek received his BA in Communication in 2008 as a graduate of Villanova University, and in 2010 he received his MS in Business Administration from California University of Pennsylvania. Derek’s full time occupation is as a professional retirement plan specialist, serving as the Chief Operations Officer/Chief Compliance Officer for Summit Group Retirement Planners, Inc. Summit Group works with employers on the design, installation, and ongoing servicing needs of a company’s retirement planning needs.

Derek founded Fiorenza’s Food For Friends (F4) in 2011 and serves as the President and CEO of the non-profit. F4 creates “Hunger Awareness” and serves as a facilitator by connecting sources of food to non-profit agencies that serve hungry recipients in need. “It is my goal to live a purposeful life serving my clients, putting the needs of others before my own, and helping to build up the communities in our country through my philanthropic ventures.”

WORKING WITH RETIREMENT PLANS SINCE 2011-2012

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PATRICK FLINT Vice President, Financial Advisor ACES

2020

NAPA’S TOP PLAN ADVISORS UNDER 40

CAPTRUST 4208 Six Forks Road, Suite 1700 Raleigh, NC 27609

BUSINESS STATISTICS Retirement Plans: 10 Retirement Assets: $510,000,000 Participants: 5,000

MISSION STATEMENT Our mission is to enrich the lives of our clients, colleagues, and communities through sound financial advice, integrity, and a commitment to service beyond expectation.

BIOGRAPHY Patrick joined CAPTRUST in 2017 and serves as a vice president, financial advisor responsible for providing defined contribution, defined benefit, and nonqualified plan advisory services, to retirement plan sponsors. Patrick helps clients manage their plans more effectively with independent advice on investments, plan design, participant engagement, vendor management, and fiduciary process. Prior to joining the firm, Patrick was a vice president, strategic relationship manager, at John Hancock, and he has worked in the industry since 2011. When he is not in the office or with a client, Patrick enjoys spending time with his wife and two sons as well as playing golf. Patrick received a Bachelor of Arts degree in operations management with a concentration in business from University of Wisconsin-Whitewater and a Master of Business Administration degree in finance from University of WisconsinWhitewater, and holds the Professional Plan Consultant (PPC®) designation. In 2019 and 2020, Patrick was selected as one of NAPA’s Top 100 Retirement Plan Advisors under 40.

WORKING WITH RETIREMENT PLANS SINCE 2011

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ADVISORS

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MARK FORBES C(k)P™

Managing Director Strategic Retirement Partners 2727 E. 21st St., Suite 103 Tulsa, OK 74114

BUSINESS STATISTICS Retirement Plans: 27 Retirement Assets: $310,000,000 Participants: 9,000

Team Name: Strategic Retirement Partners Retirement Plans: 800 Retirement Assets: $12,000,000,000 Participants: 100,000

MISSION STATEMENT

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Strategic Retirement Partners is an independent total retirement consulting firm working with plan sponsors, participants and advisors to create and maintain world class solutions for our clients. We exist for people, organizations and advisors to fulfill their potential, maintain best practices, invest in their future well-being and protect that future. Our core values are innovation, collaboratio, and partnership.

BIOGRAPHY As the Managing Director for SRP in Oklahoma, Mark has extensive experience in delivering process-driven solutions to help protect employers from corporate and personal financial liability, while striving to provide plan participants a path to a successful retirement. For over 28 years Mark has worked with retirement plan sponsors and plan participants with a passion to provide fiduciary oversight and sound investment guidance to position participants for long-term retirement success. Mark’s career started with Principal Financial Group in Des Moines with stops in Chicago, Atlanta and Tulsa. After 13 years with Principal, he accepted a Retirement Consultant position with a regional advisory firm, and then in 2004 Mark founded Forbes Financial Group.

In 2016, he entered into a partnership with SRP. Mark earned his B.S. in business administration from Drake University, Des Moines, IA, and holds the C(k)P designation, Certified 401(k) Professional, from The Retirement Advisor University at UCLA Anderson School of Management Executive Education in Los Angeles. Mark was named by The Financial Times as one of the Top 401 Retirement Advisors in 2018 and 2019.

WORKING WITH RETIREMENT PLANS SINCE 1992

2020 NAPA D.C. FLY-IN FORUM

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SCOTT FREEMAN NAPA CPFA™ • CIMA®

SVP Merrill Lynch 2 Court St., Suite 100 Binghamton, NY 13901

BUSINESS STATISTICS Retirement Plans: 50 Retirement Assets: $200,000,000 Participants: 10,000

MISSION STATEMENT Our most deeply held principle at Merrill Lynch is clients come first. We are proud to be part of that tradition. To help you meet your financial objectives and build your wealth, we offer advice that goes beyond stocks and bonds to look at your complete financial picture—advice that adds value to your life, not just your balance sheet. At Merrill Lynch, we provide powerful resources, from investment strategies to state-of-theart technology, to help you achieve what matters most to you. Let us put them to work for you.

BIOGRAPHY Scott and his team of investment industry professionals have over 100 years of combined industry experience. They apply this knowledge and capabilities with the global resources of Merrill Lynch to provide a full range of wealth management services to corporate executives and their families. With over 33 years in the financial services industry, Scott joined Merrill Lynch in 2007. He has experience with corporate benefit programs, including equity compensation, defined benefit, defined contribution and non-qualified deferred compensation plans.

In addition, he leads the investment management and asset allocation functions for the team. Scott also assists clients of the team to integrate their corporate benefits into a long-term financial strategy that focuses on risk management. He is a graduate of the Jones School of Business at The State University of NY at Geneseo and holds numerous industry certifications including the Certified Investment Management Analyst (CIMA).

WORKING WITH RETIREMENT PLANS SINCE 1990

99

ADVISORS

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DICK FRIEDMAN AIF®

Partner IRON Financial 630 Dundee Rd. Northbrook, IL 60062

BUSINESS STATISTICS Retirement Plans: 150 Retirement Assets: $1,000,000,000 Participants: 12,000

Team Name: IRON Financial Retirement Plans: 4,000 Retirement Assets: $5,500,000,000 Participants: 250,000

MISSION STATEMENT National ERISA 3(38) fiduciary, managing 2,000+ plans as a 3(38), and full-service advisor to over 300 plans.

BIOGRAPHY 100

Dick is the Managing Director, Corporate Retirement Services, at IRON Financial. He joined the firm in 2002 and is responsible for business development related to IRON Financial’s Corporate Retirement Services business. In this role, he is responsible for developing channels where IRON’s ERISA Section 3(38) fiduciary services are offered as outsourced fiduciary solutions for a range of intermediary firms. Prior to joining IRON, Dick spent five years in public accounting with Peat, Marwick and Mitchell, where he was a tax manager. He left Peat, Marwick and Mitchell to work in the financial industry, spending 15 years as a market maker on the Chicago Board Options Exchange, where he specialized in risk arbitrage. Dick received his BS in Accounting from Indiana University. He has been named one of the Top 300 Most Influential Retirement Services professionals by 401(k)Wire.

WORKING WITH RETIREMENT PLANS SINCE 2001

2020 NAPA D.C. FLY-IN FORUM

| ADVISORS

LISA GARCIA AIF® • NQPA • QPFC

Retirement Plan Consultant SageView Advisory Group 1645 Palm Beach Lakes Blvd., Suite 1200 West Palm Beach, FL 33401

BUSINESS STATISTICS Retirement Plans: 10 Retirement Assets: $100,000,000 Participants: 2,000

Team Name: SageView Advisory Group W. Palm Beach, FL Retirement Plans: 73 Retirement Assets: $2,300,000 Participants: 100,000

MISSION STATEMENT SageView’s vision is to help plan sponsors “see where they are going” by synthesizing the complexities of plan sponsorship in order to ensure fiduciary duties and participant needs are met to the highest standard.

BIOGRAPHY Lisa has vast experience working with plan sponsored retirement plans in both the private and public sector servicing defined benefit plans, 401(a), 401(k), 457(b) and executive supplemental retirement plans. She has been able to drive significant efficiencies and cost savings to her clients, enhancing the retirement program for the benefit of the employees while helping plan sponsors meet their fiduciary responsibilities. Lisa has over 15 years consulting to retirement plans and is continually investing in her professional growth to be the best consultant she can for her clients.

Education, honors, designations and other credentials: University of Buffalo, B.S. in international business; World Trade University of Phoenix, MBA with a specialization in human resource management; Accredited Investment Fiduciary (AIF); Certified Plan Fiduciary Advisor (CPFA); Certified Health Savings Advisor (CHSA); Series 6, 63, 7 and 65 Registered; NAPA Top Women Advisor, 2016, 2017, 2018; and NAPA Top Retirement Advisors Under 40, 2018

WORKING WITH RETIREMENT PLANS SINCE 2006

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SANDY GEHLER

CFP® • QPFC

Senior Qualified Plan Consultant Baird 8000 Excelsior Drive, Suite 302 Madison, WI 53717

BUSINESS STATISTICS Retirement Plans: 11 Retirement Assets: $800,000,000 Participants: 4,500

Team Name: The Gehler Luedke Group Retirement Plans: 11 Retirement Assets: $930,000,000 Participants: 4,500

MISSION STATEMENT My team’s mission is to help clients build a successful retirement program through an unbiased, objective consultative approach.

BIOGRAPHY 102

Sandy joined Baird in 1994 and has over 28 years of industry experience.

She is a retirement plan consultant and Certified Financial Planner™ professional and holds a bachelor’s degree from Cardinal Stritch University. Sandy is a member of the Madison Downtown Rotary and is on the advisory board for The Salvation Army of Dane County and the grant-making committee for A Fund for Women.

WORKING WITH RETIREMENT PLANS SINCE 2005

2020 NAPA D.C. FLY-IN FORUM

| ADVISORS

JORDAN GELB

NAPA CPFA™ • CRPC® • CIMA® • C(k)P™

Managing Director Wealth Management Bank of America Merrill 1033 Skokie Blvd., Suite 500 Northbrook, IL 60062

BUSINESS STATISTICS Retirement Plans: 40 Retirement Assets: $1,500,000,000 Participants: 18,000

Team Name: Gelb Retirement & Advisory Team (GRAT) Retirement Plans: 41 Retirement Assets: $1,600,000,000 Participants: 18,000

MISSION STATEMENT Our mission is to provide a road map to help individuals, families and corporations obtain their financial objectives. For corporations and their retirement plans, we offer solutions and consult on the plan design, investment options, as well as deliver extensive personalized education for all employees. For families and individuals, we implement custom solutions with a blueprint on how to optimize their current financial situation and reach their ultimate goals for not only themselves, but for future generations as well.

BIOGRAPHY Jordan joined Merrill Lynch in 1994 with nine years of previous financial industry experience. His focus includes working with retirement plans and high net worth individuals. He is qualified to offer guidance on tailoring investment menus to an organization’s specific needs, as well as providing long-term investment support. Jordan has an Undergraduate degree from the Kelly School of Business, Indiana University. He also attended schools and has the following designations: University of Chicago (CIMA®), NAPA CPFA®, CRPC®, UCLA (C(k)P®, USC (Longevity Training), Wharton (RPA). Certified HSA (CHSA®). Jordan lives in Northbrook with his wife Jill. They have two adult children. Jordan is involved in numerous charitable organizations and enjoys playing basketball at his gym and visiting tropical climates.

WORKING WITH RETIREMENT PLANS SINCE 1995

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ADDIE GEORGE NAPA CPFA™

VP Admin/Tech Plan Sponsor Consultants 2300 Lakeview Parkway, Suite 700 Alpharetta, GA 30009

P TO PA S NAOMEN OR 9

W DVIS A

201

BUSINESS STATISTICS Retirement Plans: 10 Retirement Assets: $340,000,000 Participants: 8,000

Team Name: Plan Sponsor Consultants Retirement Plans: 180 Retirement Assets: $2,700,000,000 Participants: 72,000

MISSION STATEMENT

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Our mission at Plan Sponsor Consultants is to create an exceptional retirement plan experience for employers and their employees. We help plan sponsors deliver the highest quality program by providing services that save time, help manage exposure to fiduciary liability, and address both IRS and DOL requirements. Through our unique financial wellness benefit, we assist participants in improving their financial literacy and retirement outcomes.

BIOGRAPHY Addie is VP of Administration and Technology for Plan Sponsor Consultants. Addie has been in that role since the inception of Plan Sponsor Consultants. She is responsible for day-to-day administration, marketing, and technology for the firm. Among her duties, Addie is responsible for maintaining the Fiduciary Investment Monitoring Report (FiRM) system and Fiduciary Education workshops. Addie is a graduate of the Marist School in Atlanta and was a finance major at the University of Tennessee. She holds a series 7, Series 63, and Series 65 registrations with LPL Financial. Addie is a Certified Plan Fiduciary Advisor. She is active in the American Retirement Association and National Association of Plan Advisors.

WORKING WITH RETIREMENT PLANS SINCE 2008

2020 NAPA D.C. FLY-IN FORUM

| ADVISORS

STEVEN GLASGOW AIF® • NAPA CPFA™ • CIMA®

Executive VP Tower Circle Partners of Janney Montgomery Scott 6700 Tower Circle, Suite 200 Franklin, TN 37067

BUSINESS STATISTICS Retirement Plans: 24 Retirement Assets: $2,300,000,000 Participants: 60,000+

Team Name: Tower Circle Partners of Janney Montgomery Scott Retirement Plans: 24 Retirement Assets: $2,300,000,000 Participants: 60,000+

MISSION STATEMENT To ensure a successful plan experience for everyone.

BIOGRAPHY Steven and the Tower Circle Partners’ team Joined Janney Montgomery Scott from Avondale Partners, where they launched the advisory business for the Nashville investment-banking boutique. The team currently serves as advisors to more than $2.5 billion in retirement plan assets. The team are also members of the GRPAA (Global Retirement Partners Advisor Alliance) that collectively oversee more than $200 billion of plan assets. He has been recognized by PLANADVISER magazine as one of the nation’s “Top 100 Retirement Plan Advisors” for 2012, 2013, 2015, 2017 and 2018, and as a finalist for “Advisor of the year” in 2013 and 2017. Steven been named to the Financial Times “Top 401” Retirement Plan Advisor List every year since its inception. The National Association of Plan Advisors named the Tower Circle team as a “Top Defined Contribution Advisory Team” in 2018 and 2019. Steven received his degree in finance from Auburn University and his MBA from the Crummer School at Rollins College. He is a Chartered Financial Analyst (CFA) and Certified Investment Management Analyst (CIMA) designee.

He holds the Accredited Investment fiduciary (AIF®) credential and the CPFA (Certified Plan Fiduciary Advisor) designation through the National Association of Plan Advisors.

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ADVISORS

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PETER GODFREY AIF® • NAPA CPFA™ • CFP®

Sr. Plan Advisor Higtower Fiduciary Plan Advisors 921 East Fort Ave., Suite 230 Baltimore, MD 21230

BUSINESS STATISTICS Retirement Plans: 32 Retirement Assets: $450,000,000 Participants: 7,500

Team Name: Fiduciary Plan Advisors Retirement Plans: 100 Retirement Assets: $5,400,000,000 Participants: 80,000

MISSION STATEMENT Leading, innovating, and always doing what’s best for our clients, with a focus on fiduciary best practices for the plan sponsor and building adequate retirement incomes for the participants.

BIOGRAPHY 106

Peter is a Senior Plan Advisor at Fiduciary Plan Advisors at HighTower.

He specializes in delivering objective investment advice and fiduciary consulting to sponsors of defined contribution and defined benefit retirement plans. Peter’s 20 years of experience in retirement plan consulting provides him with a broad base of knowledge in qualified plan management to consult with his clients in establishing best practices in all aspects of a qualified plan.

Prior to HighTower, Peter was an Account Executive focused on qualified retirement plan design and investment advisory service. He spent 14 years in commercial banking, and 12 years as a full service recordkeeper/administrator before moving into the independent consultant role.

Peter earned his BS in Finance from James Madison University. He holds his Certified Financial Planner™ (CFP™) designation, AIF, and NAPA CPFA designations. Peter is married with three children and resides in Severna Park, MD.

WORKING WITH RETIREMENT PLANS SINCE 1998

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Can I find an investment firm that believes time matters more than timing?

With the long-term perspective of Capital Group...

I can.

107 See our results at

CapitalGroup.com Home of American Funds

Investments are not FDIC-insured, nor are they deposits of or guaranteed by a bank or any other entity, so they may lose value. Investors should carefully consider investment objectives, risks, charges and expenses. This and other important information is contained in the fund prospectuses and summary prospectuses, which can be obtained from a financial professional and should be read carefully before investing.

American Funds Distributors, Inc., member FINRA.

ADVISORS

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JEB GRAHAM NAPA CPFA™ • CIMA®

Principal CAPTRUST 400 N. Tampa St., Suite 1800 Tampa, FL 33602

BUSINESS STATISTICS Retirement Plans: 22 Retirement Assets: $1,980,000,000 Participants: 44,000

MISSION STATEMENT Our mission is to enrich the lives of our clients, colleagues, and communities through sound financial advice, integrity, and a commitment to service beyond expectation.

BIOGRAPHY 108

As a retirement-focused plan advisor, Jeb has over 25 years of experience consulting on defined contribution, defined benefit and nonqualified retirement plans and developing retirement plan solutions for plan sponsor clients across multiple industries and participant demographics.

Prior to joining as part of CapTrust’s merger with CAPTRUST in 2017, Jeb was with CapTrust since 2005, and was previously with Raymond James Financial for 12 years, serving as national director, Retirement Plan Consulting Group (RPCG) in the St. Petersburg, FL, international corporate headquarters.

Jeb earned his Bachelor’s degree in Finance from the University of Central Florida and his MBA from the University of Tampa. He completed the Certified Investment Management Analyst® (CIMA®) program offered by the Investment Management Consultants Association (IMCA). Jeb also carries the designation of Certified Employee Benefits Specialist (CEBS) through the International Foundation of Employee Benefit Plans in conjunction with Wharton.

Jeb has written articles featured in numerous industry publications and is regularly invited to speak at national conferences on investment and fiduciary issues related to retirement plans. He was on the NAPA Leadership Council from 2014 to 2017. Jeb was recognized as the PLANSPONSOR Magazine 2013 Retirement Plan Advisor of the Year.

WORKING WITH RETIREMENT PLANS SINCE 1984

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KEITH GREDYS AIF®

CEO Kidder Advisers, Inc. 12035 University Avenue, Suite 100 Clive, IA 50325

BUSINESS STATISTICS Retirement Plans: 55 Retirement Assets: $300,000,000 Participants: 3,700

Team Name: Kidder Advisers, Inc. Retirement Plans: 150 Retirement Assets: $550,000,000 Participants: 8,400

MISSION STATEMENT “Ask Kidder” is the mission statement. A mission statement is only good if memorable and can be recited and understood by its employees.

“Ask Kidder” is not only the branding of our organizations but also helps to explain to our staff and our clients that we are their “go to” trusted source for accurate, timely information and action steps to help them accomplish their financial and business strategic needs. Each employee can start with “Ask Kidder” and then elaborate further on the “why” as it relates to them and the organization.

BIOGRAPHY Founder, Chairman and CEO of Kidder Advisers, Inc. (KA). KA is an investment advisory firm specializing in qualified plan design and nonqualified plan design, fiduciary guidance, education for plan committees, and wealth management. It is headquartered in West Des Moines with offices in Omaha, NE and Gainesville, FL. Keith possesses a B.S. in Business Administration from the University of Nebraska-Lincoln and a J.D. from the University of Nebraska-Lincoln College of Law. He also possesses CTFA and AIF designations. Previously, was Founder, Chairman, CEO and President of Kidder Benefits Consultants, Inc. (KBC) and Kidder-Lane Actuarial Services, LLC (KL) which provided Plan Consulting and Design, Third Party Administration/Compliance, and 3(16) Plan Level fiduciary services to clients throughout the US in the micro and small plan qualified plan market space. KBC and KL were sold to The Newport Group in December 2018.

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EILEEN GREENSPAN AIF® • NAPA CPFA™

SVP, Senior Plan Advisor Sentinel Benefits & Financial Group 1250 Broadway, Suite 2401 New York, NY 10001

BUSINESS STATISTICS Retirement Plans: 54 Retirement Assets: $546,078,687 Participants: 5,000

Team Name: Sentinel Pension Advisors Retirement Plans: 653 Retirement Assets: $6,500,000,000 Participants: N/A

MISSION STATEMENT Devoted to making a difference in the lives of our people, our clients, and our community.

BIOGRAPHY 110

Eileen is an Investment Advisor Representative with Sentinel Pension Advisors, Inc. She joined Sentinel Benefits & Financial Group in 2011 as part of an acquisition where she had previously worked since 2000. Prior to that, she began her career in Corporate Benefits, and then moved to Design, Consulting and Investment Advisory Services. Eileen has over 30 years of experience working on all aspects of retirement plans. She very much enjoys working with clients to understand their objectives and coming up with creative solutions to help clients meet these objectives. “I love spending time getting to know my clients. Each one has a distinctly different culture, but ultimately they have a similar need.

Retaining quality employees leads to a successful business and offering an excellent retirement program goes a long way in helping them meet this goal.”

WORKING WITH RETIREMENT PLANS SINCE 1982

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TIMOTHY GUILFORD AIF® • NAPA CPFATM

Registered Principal Raymond James 57 Oak Shade Road Gaithersburg, MD 20878

BUSINESS STATISTICS Retirement Plans: 65 Retirement Assets: $850,000,000 Participants: 2,800

MISSION STATEMENT To provide every plan participant the tools, information and guidance to be on track for a successful retirement. And, to provide every plan sponsor the guidance, services and support needed to make that happen.

BIOGRAPHY Tim has been managing retirement plans since 1989. He has 30+ years experience in Human Resources and the Employee Benefits field. Much of that experience was as a consultant with Keller Benefit Services of Bethesda, MD. Effective January 2018, Tim formed his own specialty consulting company, Guilford Retirement Services. Tim specializes in managing retirement plans for clients; to include plan design, implementation, investment education, due diligence reviews and vendor evaluation. Prior to joining Raymond James, Tim was a corporate director of Human Resources for a mid-sized firm in suburban Maryland. Tim has the unique experience of being both a purchaser of and consultant on Human Resources outsourcing. His team works with over 70 organizations managing retirement assets for clients in diverse industries such as technology firms, manufacturing firms, professional service firms, and associations. Tim holds a BA in Political Science and an MBA – specializing in finance and human resources. He also has earned his CEBS, CCP, SPHR, and AIF®.

WORKING WITH RETIREMENT PLANS SINCE 1986

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JANE HAGEN AIF® • C(K)P™ • QPFC

Sr VP Tri Star Trust BAnk 200 Main St., Suite 100 Midland, MI 48640

BUSINESS STATISTICS Retirement Plans: 75 Retirement Assets: $400,000,000 Participants: 3,000

Team Name: Tri Star Trust Bank Retirement Plans: 80 Retirement Assets: $400,000,000 Participants: 3,000

MISSION STATEMENT Mission: Simplifying life by creating wealth solutions through understanding.

BIOGRAPHY 112

As SVP, Jane serves as the Director of Retirement Plans & Senior Relationship Manager. She brings over 28 years’ experience in banking and trust/investments. Jane is one of the original team members of Tri-Star and is proud to have built the Employee Benefits Program from the ground up. She has earned several certifications with an emphasis on employee benefits including Certified 401(k) Professional (C(k)P®), Accredited Investment Fiduciary (AIF®) and Qualified Plan Financial Consultant (QPFC). Hagen is a member of the American Society of Pension Professional & Actuaries, having received her Retirement Plan Fundamentals I & II and Plan Consultant I certificates among numerous other credentials. Along with her role at Tri-Star, Jane serves on the board for the Boys & Girls Club of the Great Lakes Bay Region and the Delta College Foundation Investment Committee; is a Member of the Bay City Morning Rotary, Northeaster Estate Planning Council; and is an Alumni Ambassador for the Great Lakes Bay Region Alliance.

WORKING WITH RETIREMENT PLANS SINCE 1995

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ERIN HALL

AIF® • NAPA CPFATM • CFP® • C(k)P™

Managing Director ACES

P TO PA S NAOMEN OR 9

W DVIS A

2020

NAPA’S TOP PLAN ADVISORS UNDER 40

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Strategic Retirement Partners, LLC 500 Silver Spur, Suite 121 Palos Verdes, CA 90275

BUSINESS STATISTICS Retirement Plans: 24 Retirement Assets: $188,404,000 Participants: 3,273

Team Name: Strategic Retirement Partners, LLC - Los Angeles Retirement Plans: 52 Retirement Assets: $326,590,000 Participants: 6,000

MISSION STATEMENT We help retirement plan sponsors anchor their benefit package with an exceptional retirement plan complemented with ancillary programs to enhance each employee’s organizational citizenship and financial wellbeing.

BIOGRAPHY Erin is fulfilled when she can grow her business while impacting people’s lives, play the piano (poorly) while her kids sing and dance, and enjoy an Old Fashioned to celebrate any day ending in y. As an industry veteran with nearly 20 years of experience, Erin has a diverse background, having worked in customer service, operations management and sales at multiple recordkeepers. In the current phase of her career she has found her calling as a business owner and advisor. Erin has been recognized as a Financial Times 401 Top Retirement Advisor, NAPA Top Woman Advisor, and NAPA Young Gun. She is excited for the opportunities the ever-changing retirement plan industry provides to improve financial independence for each American. When she’s not helping clients improve their retirement plan, you can find her at the karaoke bar, coaching her kids’ sports teams or laughing at her husband’s jokes.

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KEITH HAMANN AIFÂŽ

VP Client Relations Plexus Financial Services, LLC 21805 W. Field Parkway, Suite 300 Deer Park, IL 60010

BUSINESS STATISTICS Retirement Plans: 35 Retirement Assets: $400,000,000 Participants: 8,000

Team Name: Plexus Financial Services Retirement Plans: 95 Retirement Assets: $1,500,000,000 Participants: 30,000

MISSION STATEMENT We are an independent and objective firm, free of any proprietary constraints or conflicts of interest. We advocate for our plan sponsors and their participants. We focus on mitigating fiduciary risk, developing plan designs, provider partnerships and open fund architectures towards delivering best-in-class solutions for our clients’ retirement planning needs and objectives.

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BIOGRAPHY Keith is Vice President of Client Relations at Plexus Financial Services, LLC. His 15-year professional career in financial services and the retirement plan market began as an Administrator for Lincoln Financial Group, where he was a dedicated professional with extensive knowledge in the management of ERISA compliance/recordkeeping services for employee stock ownership plans (ESOPs), 401(k) retirement plans and other defined contribution plans. After leaving Lincoln Financial Group, he assumed a leadership role with Crowe Horwath, LLC, a top-10 public accounting firm. As a Senior Manager in their benefits group, he supervised staff in all activities related to the administration of more than 80 401(k) plans and ESOPs Since joining the Plexus Financial Services team, he assists employers with their fiduciary obligations and helps plan participants pursue their retirement goals. Keith holds a BS from the University of Illinois in Urbana-Champaign.

WORKING WITH RETIREMENT PLANS SINCE 2000

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GARY HANDLER AIF® • C(K)P™ • PRP® • QPFC

Managing Director Raymond James 9595 Wilshire Blvd., Suite 801 Beverly Hills, CA 90212

BUSINESS STATISTICS Retirement Plans: 58 Retirement Assets: $2,500,000,000 Participants: 40,000+

Team Name: Handler Investment Consulting Group Retirement Plans: 58 Retirement Assets: $2,500,000,000 Participants: 40,000+

MISSION STATEMENT To bring dignity and provide the resources to retire your way.

BIOGRAPHY Gary Handler is a Managing Director, Senior Vice President – Investments for Raymond James and founder of the Handler Investment Consulting Group. Gary has over 30 years of experience in the retirement planning industry. He began his career in 1989 at Smith Barney, and in 1991 Gary joined Oppenheimer & Company. At Oppenheimer, he began his specialization in retirement programs for major corporations across the United States. In 2003, Gary left Oppenheimer & Co. to join RBC Dain Rauscher. In April 2007, Gary and his team joined UBS Financial Services Inc. in Encino, CA. During his tenure at UBS, Gary received many accolades and honors. Gary and group left UBS Financial Services in March 2014 and joined Raymond James in Beverly Hills, CA, where he was named to the Raymond James Institutional Consulting Group as a Senior Institutional Consultant. At Raymond James, Gary is a member of the Raymond James Retirement Plan Advisory Council. Gary graduated from the University of Southern California (USC) in 1975,with a B.S. in Accounting. In 1976, Gary received his MBA in Entrepreneurship from the USC. Gary holds Series 7, 63 and 66 securities licenses and is insurance licensed in the State of California.

WORKING WITH RETIREMENT PLANS SINCE 1990

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AMY HANOPHY CRPS® • QPFC

SVP, Institutional Client Advisor BOK Financial 1600 Broadway Avenue, Suite 1800 Denver, CO 80203

BUSINESS STATISTICS Retirement Plans: 35 Retirement Assets:$500,000,000 Participants: 12,000

Team Name: BOK Financial Retirement Advisory Services Retirement Plans: 70 Retirement Assets: $700,000,000 Participants: 18,000

MISSION STATEMENT We partner with employers to make their retirement plan match with their company’s values. We work to have employees understand the value and appreciate the benefit of the long overlooked retirement plan.

BIOGRAPHY 116

I started my career smiling and dialing at Prudential Securities in the mid 90’s. I then moved on to spend five years at Charles Schwab where I ran a business development team and worked with branches in several states. In 2003, I joined Principal Financial, and that is when I made the change from working with individuals to working with employersponsored retirement plans. After four years at Principal, I made the move back to being a Wealth Management Advisor at TIAA-CREF. I realized I missed working with retirement plans, so I made the jump back and started working as a retirement plan consultant in 2008. I’ve been at the same place (we were acquired) for almost 10 years, and the best part is that I’ve been able to work with some of the same employers the entire time. I also get to add new relationships and work with people who are as passionate about retirement plans as I am. I really enjoy the variety in my job: employee education meetings, investment reviews, plan design consulting, benchmarking and problem solving. It is rare that a day goes by where I don’t learn something new, and for that I am grateful.

WORKING WITH RETIREMENT PLANS SINCE 2003

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ERIC HANSEN AIF® • CIMA® • C(k)P™

President Hartmann Astor Investment Consulting 3651 Peachtree Parkway, Suite E-191 Suwanee, GA 30024

BUSINESS STATISTICS Retirement Plans: 21 Retirement Assets: $700,000,000 Participants: 13,000

MISSION STATEMENT Proof over posturing.

BIOGRAPHY Eric H. Hansen, CIMA, AIF, C(k)P, is the founder of Hartmann Astor Investment Consulting, an investment consulting firm focused on providing concierge consulting services for ERISA fiduciaries and their individual plan participants. Mr. Hansen consults with mid-size corporations, not-for-profits and School Districts in regard to their defined contribution, pension and non-qualified plans guiding them in the areas of vendor selection, fiduciary training and support, investment manager search and selection as well as participant communication and education strategies. In this capacity, Mr. Hansen serves as a 3(21) co-fiduciary to the plan with negotiated fee arrangements. Mr. Hansen earned a B.S. in marketing at Boston University in Massachusetts.

He began his investment career working as a mutual fund accountant for State Street Bank and an investment analyst for NationsBank. His experience in the 401(k) and 403(b) world started at the recordkeeper Northern Trust Retirement Consulting (now Hewitt) and continued with The Consulting Group at Smith Barney where he served as an institutional consultant. In addition, he also earned his Certified Investment Management Analyst (CIMA) certification through the Wharton School of Business at the University of Pennsylvania, C(k)P through UCLA’s Anderson School of Business, and his AIF through Fi360.

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MATTHEW HAYWOOD AIF® • NAPA CPFA ™

Retirement Plan Advisor Krilogy 600 Emerson Rd, Suite 110 Saint Louis, MO 63119

BUSINESS STATISTICS Retirement Plans: 60 Retirement Assets: $150,000,000 Participants: 2,350

MISSION STATEMENT Transforming Your Plan From a Liability to an Asset

BIOGRAPHY

118

Matthew began his career with Krilogy in March of 2010 and became partner in January of 2019. Matthew holds a Master of Business Administration (MBA) and a Bachelor of Arts in [olitical science from University of Missouri-Columbia. Matthew has also received the retirement plan industry designations of the Accredited Investment Fiduciary (AIF®) and the Certified Plan Fiduciary Advisor (CPFA®).

Matthew has worked with a variety of clients at Krilogy, but his sole focus is employer-sponsored retirement plans: 401(k)s, Simple IRAs, Profit Sharing, Defined Benefit, etc. In 2013, Matthew founded Krilogy Retirement Plan Advisors, where he leads a team of advisors to provide comprehensive services to all of Krilogy’s retirement plan clients. Krilogy Retirement Plan Advisors was created using the same values we provide our personal financial planning clients: Independence — Maintaining complete independence, we serve our clients by searching for providers and funds that best match our clients’ needs; and Teamwork — Utilizing the team of Krilogy advisors to provide personalized support to participants and plan sponsors. Matthew lives in Webster Groves, Missouri, with his wife, Katie, and three children, Jack, Drew and Ellie.

He enjoys playing golf, working out, coaching sports and spending time with family and friends.

WORKING WITH RETIREMENT PLANS SINCE 2011

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DARBY HEIDEMANN CRPSÂŽ

Wealth Managment Advisor Northwestern Mutual 1111 W. Jefferson St., Suite 540 Boise, ID 83702

BUSINESS STATISTICS Retirement Plans: 55 Retirement Assets: $123,242,086 Participants: 2,800

MISSION STATEMENT We are in the business of building relationships by providing a solid financial education, by simplifying financial complexity and by striving to create financial security. Ultimately our goal is to provide peace and comfort to our clients.

BIOGRAPHY Darby Heidemann is a Wealth Management and Retirement plan Adviser based in Boise, Idaho. He has been with Northwestern Mutual for 12 years. Darby has been able to differentiate himself in this space by providing a higher level of service, by assisting his clients on reducing their liability with the day to day management of their retirement plans, and by driving better retirement plan outcomes for participants and plan sponsors. Darby has an MBA from the University of Southern California and a BBA from Boise State University. He has also achieved the CRPS, CLU, and ChFC designations.

WORKING WITH RETIREMENT PLANS SINCE 2010

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SAM HENSON SVP - Director of Legislative & Regulatory Affairs Lockton 444 West 47th Street, Suite 900 Kansas City, MO 54112

BUSINESS STATISTICS Retirement Plans: 1,500 Retirement Assets: $72,000,000,000 Participants: 100,000

MISSION STATEMENT To be the worldwide value and service leader in insurance brokerage, risk management, retirement and employee benefit services.

BIOGRAPHY

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Sam oversees ERISA compliance, DOL/IRS activities, and the legislative landscape for more than 50,000 Lockton clients and 7,000 associates.

He is a nationally featured speaker and author on numerous fiduciary topics, having appeared in the Wall Street Journal, PLANSPONSOR, Benefits Magazine, Benefits Quarterly, Insurance News, and Business Insurance. Prior to joining Lockton, Sam spent almost 10 years with the U.S. Department of Labor’s Employee Benefits Security Administration, where he conducted more than 150 civil and criminal investigations of employee benefits plans, service providers and fiduciaries. He was the 2011 recipient of the Secretary of Labor’s Exceptional Achievement Award. Sam serves on the ISCEBS Governing Council, Policy Board of the American Benefits Council and Board of Directors of DCIIA, and is a member of the American Bar and ASPPA. Sam earned his Juris Doctorate at the University of Missouri-Kansas City School of Law and holds CEBS – Fellow, RPA, GBA, and ASPPA - APM designations.

WORKING WITH RETIREMENT PLANS SINCE 2002

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DAVID HINDERSTEIN President Strategic Retirement Group 4 West Red Oak Lane, Suite 300 White Plains, NY 10604

BUSINESS STATISTICS Retirement Plans: 32 Retirement Assets: $6,000,000,000 Participants: 89,000

MISSION STATEMENT SRG’s team of professionals is committed to helping you achieve your compliance goals and the retirement readiness of your employees. The success of your retirement plan is driven by the strength and quality of the SRG team…backed by the depth, resources, technology, and developed compliance procedures of the nation’s top-rated brokerdealer for hybrid advisers.

BIOGRAPHY David leads Strategic Retirement Group’s consulting practice, which assists plan sponsors and participants in responding to the many challenges in managing their retirement programs. David has extensive background and significant knowledge in helping not-for-profit, corporate, healthcare, and higher education plan sponsors meet their fiduciary responsibilities and manage and optimize their investment provider relationships.

Prior to starting Strategic Retirement Group, David spent almost 12 years in various management and consulting positions with Arthur J. Gallagher & Co. Most recently, he was President of GBS Retirement Services, Inc. (the retirement division of Arthur J. Gallagher & Co.), with responsibility for consulting and servicing large defined contribution and defined benefit plans and overseeing all facets of Gallagher’s regional retirement services practice. David earned his BS degree in Finance from The American University in Washington, D.C., and has achieved the Accredited Investment Fiduciary® (AIF®) designation.

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LEE HOFFMAN AIF® • NAPA CPFA™ • CRPC® • CFP®

Senior Vice President Merrill 8075 Leesburg Pike, Suite 600 Vienna, VA 22182

BUSINESS STATISTICS Retirement Plans: 26 Retirement Assets: $263,000,000 Participants: 2,469

Team Name: Hoffman Whipkey Group Retirement Plans: 27 Retirement Assets: $326,000,000 Participants: 118

MISSION STATEMENT The Hoffman Whipkey Group provides carefully crafted retirement plan strategies for a wide range of corporations and non-profit organizations and offers co-fiduciary consulting services to defined contribution plans. We help plan administrators navigate the complex legislative and regulatory landscape of employer sponsored plans and work closely with participants to help them achieve financial security for retirement.

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BIOGRAPHY Lee has spent his entire career in the financial services industry. Prior to joining Merrill Lynch in 1997, Lee spent 10 years in trust banking, where he administered employee benefit plans for corporate clients. Lee’s deep understanding of ERISA rules and other regulatory requirements governing institutional retirement plans is rare among investment professionals. He is one of fewer than 100 Merrill Lynch financial advisors nationwide designated as a Global Institutional Consultant to serve the complex needs of institutional clients. Lee is also part of a select group of Merrill Lynch Advisors designated Retirement Plan Consultants. In 2018, Financial Times named Lee one of the Top 401 Retirement Advisors. Lee is a graduate of the University of Virginia’s McIntire School of Commerce. In addition to earning the Chartered Financial Analyst and Certified Financial Planner™ designations, Lee also holds the Certified 401(k) Plan Advisor (C(k)P) and Certified Plan Fiduciary Advisor (NAPA CPFA) professional designations. Lee is a member of the CFA Institute and the CFA Society of Washington, DC, and NAPA.

WORKING WITH RETIREMENT PLANS SINCE 1984

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ANDRE HUAMAN AIF® • NAPA CPFA™

Managing Partner Three Bell Capital LLC 4 Main Street, Suite 230 Los Altos, CA 94022

BUSINESS STATISTICS Retirement Plans: 172 Retirement Assets: $1,175,000,000 Participants: 15,000

MISSION STATEMENT Three Bell Capital is an independent, comprehensive financial services firm serving the entrepreneurial community. Our corporate practice structures, designs, implements and manages 401(k) and executive pension plans for some of most well-respected and successful venture capital firms, professional service firms, and technology companies in their respective industries.

BIOGRAPHY Andre leads the Three Bell Capital corporate retirement plan division, and is focused on designing, structuring and implementing best-inclass 401(k) and executive pension plans, customized to our clients’ organizational needs, goals, and objectives. Andre joined Three Bell Capital in 2012 and has overseen and been primarily responsible for the retirement practice growing from $15 million in assets to over $900 million in assets over the last 6 years.

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MIKE HULME AIF®

Managing Partner Financial Resource Advisors 816 Tower Park Drive Waterloo, IA 50701

BUSINESS STATISTICS Retirement Plans: 7 Retirement Assets: $109,000,000 Participants: 2,720

Team Name: Financial Resource Advisors Retirement Plan Services Team Retirement Plans: 7 Retirement Assets: $145,000,000 Participants: 2,720

MISSION STATEMENT Financial Resource Advisors’ mission is to provide the best independent, professional wealth management advice to individuals, businesses and qualified plans.

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BIOGRAPHY Mike has over 30 years of experience in financial services. He is an Accredited Investment Fiduciary (AIF) and a Fellow of the Society of Actuaries (FSA). Mike has extensive background in complex and highly regulated financial services products, as well as corporate and small business leadership experience. While a practicing actuary and product manager, he served on executive leadership teams guiding strategic planning and execution of business plans. Mike joined Financial Resource Advisors in 2012. His experience as a business leader and actuary is a rare combination among financial advisors. As Managing Partner he provides strategic and financial leadership, including the formation, leadership and growth of the firm’s Retirement Plan Services team that provides comprehensive retirement plan services to plan sponsors and their employees.

WORKING WITH RETIREMENT PLANS SINCE 2016

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MICHAEL ILEY AIF® • NAPA CPFA™ • NQPA

Managing Director LoVasco Consulting Group One Woodward Avenue, Suite 1500 Detroit, MI 48226

BUSINESS STATISTICS Retirement Plans: 50 Retirement Assets: $300,000,000 Participants: 7,000

BIOGRAPHY Mike is an influencer. He helps organizations design, build, and maintain the next generation of workplace savings solutions. At LoVasco, Mike is responsible for thought leadership and the strategic direction of the firm’s Retirement Plan Consulting practice. His prior experience working at Arthur J. Gallagher & Co, NEPC Investment Consulting and Morgan Stanley’s Graystone Consulting Group, provides a unique perspective on the industry. Mike is motivated every day to help the average American worker, who might not otherwise have access to financial guidance, the opportunity to build a meaningful nest egg for retirement by designing innovative retirement plans. Mike is an avid cross-fitter and is active in his church community.

WORKING WITH RETIREMENT PLANS SINCE 2000

E M E R G I N G

A D V I S O R

JIM CHAPMAN

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TODD KADING

NAPA CPFA™ • CFP®

President LeafHouse Financial 6504 Bridgepoint Pkwy., Suite 450 Cedar Park, TX 78613

BUSINESS STATISTICS Retirement Plans: 1,500 Retirement Assets: $10,000,000,000 Participants: 350,000

Team Name: LeafHouse Financial Retirement Plans: 1,500 Retirement Assets: $10,000,000,000 Participants: 350,000

MISSION STATEMENT Our mission is to fix the U.S. retirement plan system, even if we have to do it one plan and one advisor at a time.

BIOGRAPHY 126

Being born in Iowa and growing up in Texas can foster an interesting personality for anyone. Todd loves the Steelers in football and the Spurs in basketball. He dislikes both hot weather and snow. He loves the mountains because neither Iowa nor central Texas has any. And he is comfortable talking to anyone from anywhere; he will even use the words “Ya’ll” and “You Guys” in the same sentence. At 22 Todd decided to start his own wealth management practice. His thoughts were, “Who else is better to help guide families to secure financial futures than a 22-yearold who actually went to school specifically to get a degree in finance and to become a Certified Financial Planner™?” Okay, he admits that the age factor made it difficult for him to convince 50-year-olds to let him manage their life savings. The career choice proved to be a fantastic one. By the age of 27, Todd was one of the highest producing advisors out of the more than 10,000 advisors who were in the parent firm. They sold their successful business in order to start LeafHouse Financial Advisors, and in 2016, Todd and Neal achieved one of the biggest honors to date: LeafHouse was one of three finalists for the National Association of Plan Advisors’ 401(k) Advisor Leadership Award.

WORKING WITH RETIREMENT PLANS SINCE 1998

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MIKE KANE AIFA® • NAPA CPFA™ • CFP®

Managing Director Plan Sponsor Consultants 2300 Lakeview Parkway Suite 700, Alpharetta, GA 30009

BUSINESS STATISTICS Retirement Plans: 18 Retirement Assets: $1,700,000,000 Participants: 52,000

Team Name: Plan Sponsor Consultants Retirement Plans: 190 Retirement Assets: $2,700,000,000 Participants: 74,000

MISSION STATEMENT Our mission at Plan Sponsor Consultants is to create an exceptional retirement plan experience for employers and their employees. We help plan sponsors deliver the highest quality program by providing services that save time, reduce exposure to fiduciary liability, and address both IRS and DOL requirements. Through our unique financial wellness benefit, we assist participants in improving their financial literacy and retirement outcomes.

BIOGRAPHY Mike is the Founder & Managing Director of Plan Sponsor Consultants, a nationally recognized independent retirement plan consulting firm.

PSC has offices in Atlanta, Birmingham, DC, Maryland, Virginia and D.C., Michigan and Mobile, with retirement plan clients throughout the U.S. Mike has been a 2015-18 Financial Times Top 401 Retirement Plan Advisor.

Mike is President of the national Retirement Advisor Council (RAC) and serves on the Board. With three of his partners, Mike is a designated Centre for Fiduciary Excellence Analyst. Mike is a graduate of Mount St. Mary’s University and performed his graduate work at the George Washington Univ. Grad School of Business. Prior to entering the financial services industry, he served as a Naval Officer.

WORKING WITH RETIREMENT PLANS SINCE 1982

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KRISTINA KECK NAPA CPFA™

Vice President Woodruff Sawyer/ Global Retirement Partners 50 California St. San Francisco, CA 94111

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BUSINESS STATISTICS Retirement Plans: 35 Retirement Assets: $2,000,000,000 Participants: 16,000

Team Name: Woodruff Sawyer Retirement Plans: 95 Retirement Assets: $3,000,000,000 Participants: 24,000

MISSION STATEMENT Woodruff Sawyer: Our mission is simple: to provide our clients with deep expertise, thoughtful counsel, and fierce advocacy. Hear from clients about their experiences working with us, and hear about our approach directly from some of the Woodruff Sawyer team.

BIOGRAPHY 128

Being a retirement plan fiduciary is increasingly complex, and one of the top concern for many firms. Is your retirement plan advisor providing the advice, support and service you need? Woodruff Sawyer is the best-kept secret in the national brokerage and consulting sector.

Over 4,000 loyal clients rely on us to provide employee benefits that protects their employees and helps them recruit and retain top-tier talent. Our distinction from other advisors is 3-fold: The strong, enduring relationships we forge with our clients. The customized solutions we deliver—unique to your organization’s needs, not just Options A, B, or C. The exceptional customer experiences we provide, as shown by our Net Promoter Survey “World-Class” rating for service. On a personal note, I’m an avid hiker, cook, wine enthusiast, and I enjoy watching Warriors and 49er games with my husband and two sons.

WORKING WITH RETIREMENT PLANS SINCE 1997

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KATHLEEN KELLY AIFA® • CRPS®

Managing Partner Compass Financial Partners 701 Green Valley Rd. Greensboro, NC 27408

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BUSINESS STATISTICS Retirement Plans: 80 Retirement Assets: $9,400,833,414 Participants: 131,507

Team Name: Compass Financial Partners Retirement Plans: 170 Retirement Assets: $11,970,046,489 Participants: 172,749

MISSION STATEMENT WE LOVE WHAT WE DO | WE PAVE THE PATH TO THE FUTURE™

BIOGRAPHY Kathleen, originally from Saratoga, NY, received her degree in Economics from Wake Forest University. She is a Founding and Managing Partner of Compass Financial Partners, and a 25-year veteran of the financial services industry. She has achieved the CRPS and AIFA designations.

A nationally recognized firm, the team at Compass Financial Partners was named to Barron’s 2015 inaugural ranking and 2018-2020 listing of Top Institutional Investing Consultants, the 2013-2019 Pension & Investments Top Consulting listing, the PLANADVISER 2013-2018 & 2020 Top 100 Retirement Plan Advisers listing and was selected as a finalist for the 2015, 2016 and 2017 PLANSPONSOR Retirement Plan Adviser Team of the Year Award. Additionally, she represented Compass Financial Partners as the recipient of NAPA’s 2014 401(k) Advisor Leadership Award. In further recognition of Kathleen’s leadership within the retirement plan consulting community, she has been selected to serve on the Empower Advisory Board, Nuveen Retirement Leadership Council, Principal Financial Professional Advisor Council, the MassMutual Retirement Partners Council, the Transamerica Retirement Solutions RIA Advisory Board, the JP Morgan DC Advisor Council, the Fidelity Workplace Investing Advisor Council, and the Retirement Advisor Council. She is a frequent speaker at industry conferences and regularly quoted in trade publications.

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STEPHANIE KEMP NAPA CPFATM

Director of Retirement Plan Services Garcia Wealth Management Group 613 S. Main Street Templeton, CA 93465

BUSINESS STATISTICS Retirement Plans: 85 Retirement Assets: $200,000,000 Participants: 2,500

MISSION STATEMENT To be the most sought after Wealth Management firm on the Central Coast of California.

BIOGRAPHY

130

Stephanie Kemp is our retirement plan specialist providing superior service to our retirement plan sponsors and participants. Stephanie holds NAPA’s Certified Plan Fiduciary Advisor, CPFA, designation and FINRA series 65 certification. Stephanie graduated from Boise State University with a Bachelor of Science in both political science and finance. After graduation, Stephanie had the pleasure to live in Brisbane, Australia, for five years and has a unique perspective on international finance from working in the Australian financial sector. Stephanie has many community interests, including her involvement with the Templeton Chamber of Commerce as the Vice President. She has a passion for educating and supports the United Way, teaching the Money Talks for Teens, a financial literacy program at local high schools. Stephanie has competed in the grueling Tough Mudder races to raise money for the Wounded Warrior project, a charity she is passionate about. In addition to appreciating her community, she enjoys watching football, volunteering, travel and all the wonderful things the Central Coast has to offer. Stephanie lives in Templeton with her husband, Clayton, her rescue dog, Ari, and her cat, Audi, as well as the family’s newest addition, a boxer named Traveler.

WORKING WITH RETIREMENT PLANS SINCE 2013

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CHARLEY KENNEDY AIFA® • C(k)P™ • QPFC

Principal Fiducia Group 100 West Station Square Drive, Suite 615 Pittsburgh, PA 15219

BUSINESS STATISTICS Retirement Plans: 16 Retirement Assets: $1,072,000,000 Participants: 20,000

MISSION STATEMENT Many workplace retirement plan sponsors engage advisors to help with their program based on personal relationships vs. the best credentials.

Despite best intentions, this does not always work out well for retirement plan participants as these individuals are not qualified or looking out for the participant’s best interests. Our organization strives to change the narrative and improve on the standard of what’s best for American workers. We encourage employers with strong fiduciary support. We endeavor to charge reasonable fees and challenge our partners in retirement plan servicing to do the same. We mitigate risk for plan sponsors while improving retirement outcomes for employees. We encourage employees with a holistic approach to retirement planning which starts with eliminating student debt to enhance saving and incorporating health care planning into the overall retirement picture.

BIOGRAPHY Charley is the Managing Principal of Fiducia Group. He is a member of Fiducia Group’s Investment Committee and is the firm’s service partner liaison. Charley consults with clients on investments, fiduciary responsibility, vendor price negotiation, vendor searches and participant advocacy. Prior to founding Fiducia Group in 2008, Charley was the Chief Administrative Officer of a national retirement advisory firm and the firm’s eastern region consulting practice leader. Charley has 32 years of retirement plan experience and has held multiple senior-level positions with national retirement consulting firms and investment companies.

He is a founding member and secretary of the Pittsburgh Retirement Professionals and serves on NAPA’s Government Affairs Committee.

He holds a B.A. in Accounting from Grove City College, where upon graduation he became a Certified Public Accountant (inactive).

WORKING WITH RETIREMENT PLANS SINCE 1987

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VINCENT KO AIF®

VP, Retirement Plan Consulting Precept Advisory Group 130 Theory, Suite 200 Irvine, CA 92617

BUSINESS STATISTICS Retirement Plans: 17 Retirement Assets: $2,349,472,289 Participants: 23,320

Team Name: Precept Advisory Group Retirement Plans: 59 Retirement Assets: $3,278,765,647 Participants: 55,000

MISSION STATEMENT Precept Advisory Group’s mission is to build customized, competitive, cost effective, and appreciated retirement plans that integrate with each company’s total compensation strategy.

BIOGRAPHY 132

Vincent is the Vice President of Retirement Plan Consulting, and Chief Compliance Officer for Precept Advisory Group. His background and experience includes personal financial planning, public sector retirement plan administration, and qualified/non-qualified defined contribution plan design. His primary responsibilities include ongoing plan management and consultation by providing retirement program plan design, compliance and investment related advisory services to plan sponsors and fiduciary committees. Key areas of focus include mergers & acquisitions, controlled group plans, and legislative/regulatory compliance and oversight. He has earned his B.A. and M.B.A. from California State University, Fullerton.

WORKING WITH RETIREMENT PLANS SINCE 2004

2020 NAPA D.C. FLY-IN FORUM

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PETROS KOUMANTAROS

NAPA CPFA™

Financial Consultant intellicents 6402 19th Street West Tacoma, WA 98466

BUSINESS STATISTICS Retirement Plans: 10 Retirement Assets: $370,000,000 Participants: 3,000

Team Name: intellicents Retirement Plans: 245 Retirement Assets: $4,000,000,000 Participants: 48,000

MISSION STATEMENT Unlike most advisory firms who just want to work with the wealthiest 1% of Americans, intellicents’ mission is to also help the 99% make their dreams real. Our mission is to create a national independent financial advisory firm centered on the employee benefit relationship. We serve the 99% mass affluent that the industry refers to as “the under-served.”

BIOGRAPHY The eldest son of an immigrant small business owner and a schoolteacher, Petros was born and raised in Tacoma, WA. He began his career in the technology sector at the world’s largest semiconductor company. After earning an MBA from Arizona State University, he joined the Recordkeeping / Third Party Administration firm his father started under challenging circumstances. After his father’s tragic passing from bladder cancer, Petros was called upon to lead the organization. Since then, the firm has grown to more than $1.8 Billion in assets under administration, made strategic business acquisitions, and expanded into new geographic markets. Together with his brother and mother, Petros launched a foundation in his father’s memory, which has raised over $1.6 Million in support of cancer research, treatment, and care initiatives. In 2011, bit by the entrepreneurial bug like his parents before him, Petros co-founded GROUPIRA, a FinTech company which enables people to invest better for whatever comes next in life. In 2018 Petros also became a Financial Consultant with intellicents, an investment advisory firm with over $4 Billion in assets under management, which specializes serving the 99% mass affluent. Today, through his businesses, Petros advises and consults with employers, individuals, and institutional investors.

WORKING WITH RETIREMENT PLANS SINCE 2005

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NICHOLAS KRALJ AIFÂŽ

Vice President of Retirement Plan Services Hub International 6979 SE Lake Rd. Portland, OR 97267

ACES

2020

NAPA’S TOP PLAN ADVISORS UNDER 40

BUSINESS STATISTICS Retirement Plans: 70 Retirement Assets: $425,000,000 Participants: 10,000

MISSION STATEMENT To create shareholder value and grow profitably by delivering unmatched service, expertise and insurance solutions to people and businesses, and to empower our employees to learn, grow and make a difference in their communities.

BIOGRAPHY 134

Nick has been working in the retirement plans space since 2001 and has been heading the division since 2007. Nick is a licensed Investment Advisory Representative (IAR) and carries his series 6, 63 and 65 licenses. He is also a designated Accredited Investment Fiduciary (AIF).

These licenses allow him to operate as a co-fiduciary to the plans he works with. Nick has a passion for learning and teaching, and brings that to plan sponsors and participants. He has worked closely with many leading providers in the retirement space and has experience matching employer specific needs and desires to market knowledge and trends.

Nick and his family are avid baseball fans. He sits as the president for Camas Little League and coach for Seton Catholic High School.

WORKING WITH RETIREMENT PLANS SINCE 2001

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Helping your clients plan for the future in a now world

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LE ARN MORE AT

empower-retirement.com

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CURTISS LACROSS NAPA CPFA™ • CRPC® • C(k)P™

Financial Advisor RBC Wealth Management 6301 Uptown Blvd. NE Albuquerque, NM 87110

BUSINESS STATISTICS Retirement Plans: 23 Retirement Assets: $150,000,000 Participants: 2,300

MISSION STATEMENT Provide plan sponsors the advice and guidance they need to optimize their plans, reduce risk, and truly help their participants prepare to replace their income in retirement.

BIOGRAPHY 136

Curtiss graduated with honors from the Culinary Institute of America, followed by a successful 20 year career as a professional chef and restaurateur. After selling his restaurants and traveling for a year, Curtiss was recruited to become a financial advisor at Merrill Lynch. Having been a business owner, he quickly became Merrill Lynch’s leading 401(k) advisor in New Mexico. After completing the C(k)P program at UCLA, Curtiss decided to move his practice, in search of a true open architecture firm. After a thorough year-long due diligence process, Curtiss settled on RBC Wealth Management. After 8 years at Merrill Lynch, he made the move with great success. Over 3 years later, Curtiss is one of the top 401(k) advisors for RBC Wealth Management

WORKING WITH RETIREMENT PLANS SINCE 2007

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ELLEN LANDER AIF® • NAPA CPFATM

Principal

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Renaissance Benefit Advisors Group, LLC 8166 Hewlett Road Atlanta, GA 30350

201

BUSINESS STATISTICS Retirement Plans: 33 Retirement Assets: $1,350,000,000 Participants: 6,500

MISSION STATEMENT To help retirement plan sponsors meet and manage their fiduciary responsibilities under ERISA, and in doing so, provide the foundation for their employees to become financially prepared for retirement.

BIOGRAPHY Ellen is the Principal and Founder of Renaissance Benefit Advisors Group, LLC, (RBA) an independently owned retirement plan consulting and institutional investment advisory firm. Devoted to the specialized needs of retirement plan sponsors, RBA has grown on a referral-only basis. RBA’s clients include both US and non-US corporations as well as not-for-profit organizations. With her entire career having been devoted to the retirement plan industry, Ellen has gained the specialized experience and expertise in working with all types of retirement plans and in numerous areas including ERISA compliance, fiduciary governance, plan design, investment analysis, contract negotiations, plan fees, analytic benchmarking, and development of employee education and financial wellness programs.

Ellen continues to be ranked among the country’s top retirement plan advisors and has been awarded numerous industry designations and awards. Her credentials and designations demonstrate her attainment of the highest level of experience, expertise and commitment to the retirement plan business and investment fiduciary responsibility standards.

WORKING WITH RETIREMENT PLANS SINCE 1975

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JOSEPH LAPPS AIF® • CRPS®

Chartered Retirement Plans Specialist Independence Square Advisors 150 S. Warner Road, Suite 300 King of Prussia, PA 19604

BUSINESS STATISTICS Retirement Plans: 30 Retirement Assets: $300,000,000 Participants: 5,000

Team Name: The Plan Advocate at Independent Square Retirement Plans: 80 Retirement Assets: $400,000,000 Participants: 5,000

MISSION STATEMENT We strive to minimize a plan sponsor’s efforts in running a successful retirement program, while helping to manage fiduciary liabilities and empowering employees through financial wellness programs.

BIOGRAPHY 138

Joe is a retirement plan specialist passionate about helping companies achieve success with their retirement programs. We have developed a comprehensive service program, The Plan Advocate Process©, where we strive to minimize a plan sponsor’s efforts in running a successful retirement program, while helping to manage fiduciary liabilities and empowering employees through financial wellness programs. He has attained designations as a Chartered Retirement Plans Specialist®, an Accredited Investment Fiduciary®, and an approved advisor in the Retirement Plan Consulting Program (RPCP) able to act as a 3(21) and 3(38) Fiduciary. The RPC program is through LPL Financials’ Retirement Partners division. Joe and The Plan Advocate team at Independence Square Advisors focus on serving Defined Contribution Plans (401k, 403b, ESOP, MP, PS, SEP), Defined Benefit Plans, Executive Compensation Plans and Group Benefits.

WORKING WITH RETIREMENT PLANS SINCE 1996

2020 NAPA D.C. FLY-IN FORUM

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CHAD LARSEN Retirement Practice Leader HUB|MRP 4600 S. Ulster Street, Suite 550 Denver, CO 80237

BUSINESS STATISTICS Retirement Plans: 150+ Retirement Assets: $1,000,000,000 Participants: 100,000

Team Name: HUB|MRP Retirement Plans: 250+ Retirement Assets: $10,000,000,000 Participants: 250,000

MISSION STATEMENT “To Treat Each of Our Client’s Plans as if it Were Our Own”

BIOGRAPHY I have worked with both small and very large employers for many years and I love taking retirement plans to the “Next Level.” I have been fortunate to have helped build a very successful team over many years and we are now part of HUB International which has been a wonderful fit for me and our MRP Team.

WORKING WITH RETIREMENT PLANS SINCE 1991

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VALERIE LEONARD AIF® • NAPA CPFA™

Co-Founder, Financial Advisor Grinkmeyer Leonard Financial 2279 Valleydale Road, Suite 210 Birmingham, AL 35244

BUSINESS STATISTICS Retirement Plans: 26 Retirement Assets: $232,550,777 Participants: 3,200

Team Name: Grinkmeyer Leonard Financial Retirement Plans: 26 Retirement Assets: $232,550,777 Participants: 3,200

MISSION STATEMENT Our mission is to empower Americans to prudently plan for the future and manage their money with confidence.

BIOGRAPHY 140

Valerie is a leader in the financial industry. Recognized as one of the “Top Women Advisors” by NAPA, top financial advisors in the U.S. by Forbes, and named among the best retirement advisors by Financial Times, Valerie’s client-first approach has long differentiated her from her peers and propelled her clients above and beyond their goals. Interested in finance from an early age (Valerie was the only middle school student who attended investment seminars with her grandfather), Valerie went on to earn her B.S. at the University of Alabama at Birmingham and became a financial advisor upon graduation. In 2007, Valerie co-founded Grinkmeyer Leonard Financial. At Grinkmeyer Leonard, Valerie works hard to help empower her clients to plan for the future, prudently manage their money, and retire with confidence. Valerie is as passionate about serving her community as she is about serving her clients and generously shares her time and talent with others. A proud wife and mother, Valerie and her husband Rob have three children. On the weekends, they enjoy road-tripping in search of new places to explore and cooking together at home. Valerie holds the NAPA Certified Plan Fiduciary Advisor (NAPA CPFA™) and Accredited Investment Fiduciary (AIF®) designations.

WORKING WITH RETIREMENT PLANS SINCE 2008

2020 NAPA D.C. FLY-IN FORUM

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RONALD LETAW

AIF® • NAPA CPFA™

VP, Retirement Plan Consultant Montgomery Retirement Plan Advisors 14502 N. Dale Mabry Hwy, Suite 328 Tampa, FL 33618

BUSINESS STATISTICS Retirement Plans: 38 Retirement Assets: $1,643,924,000 Participants: 29,000

Team Name: Montgomery Retirement Plan Advisors Retirement Plans: 122 Retirement Assets: $2,216,000,000 Participants: 40,500

MISSION STATEMENT Montgomery Retirement Plan Advisors is an independent, fee-based consulting firm dedicated exclusively to employer sponsored retirement plans. Our mission is to deliver carefully tailored fiduciary guidance based on a thorough understanding of each client’s unique objectives.

We serve as an ERISA investment fiduciary and help empower those responsible for managing their organization’s retirement programs to elevate plan governance, inspire a generational impact on employees, and optimize retirement plan programs. We pride ourselves on helping navigate and simplify retirement plan complexities while communicating in clear actionable terms. We love what we do and take pride in the quality of our work. Our practical and objective consulting approach is one that our clients recommend to their peers, prefer for their employees and are proud to have on their side.

BIOGRAPHY Based in the Atlanta area, Ron provides investment and plan consulting services. He is also responsible for business strategy & development as well as RFP & benchmarking management. Ron was named a Top Plan Advisor Under 40 by NAPA in 2017 and our firm, MRPA, has been named a Top DC Advisor Team in 2017 & 2018. Ron entered the industry in 2000. He joined MRPA after ten years with a major retirement plan recordkeeper, where he managed a team of retirement plan relationship managers in the Southeast.

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JUSTIN LEVONYAK AIF® • NAPA CPFA™ • CRPS®

Retirement Plan Advisor Wintrust Retirement Benefits Advisors 231 South LaSalle Street, 13th Floor Chicago, IL 60604

BUSINESS STATISTICS Retirement Plans: 115 Retirement Assets: $1,000,000,000 Participants: 10,000

Team Name: Wintrust Retirement Benefits Advisors Retirement Plans: 176 Retirement Assets: $$2,000,000,000 Participants: 45,000

MISSION STATEMENT To assist our plan sponsor clients and their participants navigate the retirement plan landscape and aligning our goals to create and implement a secure and successful retirement benefit.

BIOGRAPHY 142

Justin Levonyak serves as an Advisor with the Wintrust Retirement Benefits Advisors team. Since joining the firm in 2015, he has been primarily focused on providing comprehensive consulting services to 401(k) plan sponsors and their plan participants. His role with the group includes garnering new business in the small market sector as well as helping plan sponsors implement fiduciary best practices to enhance plan performance and improve participant outcomes. He also provides value-added insight for investment analytics and is responsible for client service and retention for all market segments.

Justin graduated from DePaul University in 2016 with a degree in Accounting and holds FINRA Series 7 and 66 Licenses, in addition to his Illinois Life & Health Insurance Licenses. He also holds the Accredited Investment Fiduciary (AIF®), Certified Plan Fiduciary Advisor (CPFA®), Certified Health Savings Advisor (CHSA®) and Chartered Retirement Plan Specialist (CRPS®) professional designations. In his spare time, Justin serves as a member and treasurer for the Erie Family Health Centers Associate Board. Justin lives in Addison, Illinois.

WORKING WITH RETIREMENT PLANS SINCE 2015

2020 NAPA D.C. FLY-IN FORUM

| ADVISORS

ALLEN LONG C(k)Pâ„¢

Managing Principal Heritage Seubert Financial 1501 Reesdale Street, Suite 4005 Pittsburgh, PA 15233

BUSINESS STATISTICS Retirement Plans: 45 Retirement Assets: $700,000,000 Participants: 15,000

Team Name: Heritage Seubert Financial Retirement Plans: 92 Retirement Assets: $1,010,000,000 Participants: 25,000

MISSION STATEMENT To provide professional retirement plan support for employers and work with them to enhance retirement readiness for their employees.

BIOGRAPHY Allen has been a retirement advisor since 1994.

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JON MAERTZ AIF® • NAPA CPFA™ • CRPS®

Senior Plan Advisor NFP Retirement - Midwest 10 Terrace Court, Suite 103 Madison, WI 53718

BUSINESS STATISTICS Retirement Plans: 35 Retirement Assets: $500,000,000 Participants: 5,000

Team Name: NFP Retirement - Midwest Retirement Plans: 130 Retirement Assets: $2,500,000,000 Participants: 40,000+

MISSION STATEMENT Our passion is building strong personal relationships based on trust, transparency and active communication so we can create the best possible work environment for our employees and deliver the best possible solutions to our clients.

BIOGRAPHY 144

Jon joined the firm’s Plan Advisory group in 2016 and has more than 20 years of experience in the financial services and benefits industry working specifically with retirement plans. He has an extensive and diverse background in retirement plans, and has spent the majority of his time leveraging his knowledge of industry providers and working with clients to facilitate vendor searches, negotiate with vendors, assist with plan design and deliver investment consulting services.

WORKING WITH RETIREMENT PLANS SINCE 1994

2020 NAPA D.C. FLY-IN FORUM

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KEVIN MAHONEY AIF® • C(K)P™ • QPA • QPFC

Business Development Officer Financial Decisions, Inc. 3555 Deer Park Drive, Suite 160 Stockton, CA 95219

BUSINESS STATISTICS Retirement Plans: 150 Retirement Assets: $400,000,000 Participants: 6,500

MISSION STATEMENT Become the most trusted independent record keeper, third party administrator and financial adviser using cutting edge technology, youthful exuberance and excellent client servicing.

BIOGRAPHY Kevin is part owner of Financial Decisions, Inc. and serves as the Business Development Officer. His duties consist of new client development, client relationship management, and developing strategies to create successful retirement programs for plan sponsors clients of Financial Decisions, Inc. Kevin started his career with Financial Decisions in 1993. Over the last 25 years, he has worked in plan administration, sales, management and consulting. Kevin knows and understands the complexities of plan design and merging with client needs. He has seven professional designations, has been a member of ASPPA since 1997 and has participated on several committees and advisory boards. Kevin received his Bachelor’s Degree in Business Management from CSU Stanislaus in 1996.

WORKING WITH RETIREMENT PLANS SINCE 1993

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KEVIN MAHONEY AIFA® • CIMA®

Managing Director Raymond James 1 Crosfield Ave West Nyack, NY 10994

BUSINESS STATISTICS Retirement Plans: 60 Retirement Assets: $2,000,000,000 Participants: 20,000

Team Name: The Mahoney Group of Raymond James Retirement Plans: 60 Retirement Assets: $2,000,000,000 Participants: 20,000

MISSION STATEMENT To help plan sponsors meet their fiduciary responsibilities while offering their employees a retirement plan that will help them make meaningful progress towards their financial goals.

BIOGRAPHY 146

Kevin joined Raymond James as a Managing Director, Investments and Senior Institutional Consultant of The Mahoney Group in 2015. Kevin brings over 20 years’ experience in the financial services industry. His areas of expertise include fiduciary risk management, ERISA issues, qualified and non-qualified retirement plans, liability driven investing, philanthropic services, employee education and communication.

WORKING WITH RETIREMENT PLANS SINCE 1994

2020 NAPA D.C. FLY-IN FORUM

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SHANNON MAIN AIF® • CFP®

Principal Pensionmark 120 Vantis, Suite 300 Aliso Viejo, CA 92656

P TO PA S NAOMEN OR 9

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BUSINESS STATISTICS Retirement Plans: 56 Retirement Assets: $556,000,000 Participants: 11,200

Team Name: Fiduciary Retirement Advisory Group Retirement Plans: 56 Retirement Assets: $556,000,000 Participants: 11,200

MISSION STATEMENT Our mission is to help our plan sponsors and individual investors meet and exceed their retirement plan needs and obligations, and to do it with uncompromising integrity.

BIOGRAPHY Shannon Main began her career in the financial services industry in 1994 and works exclusively with corporate retirement plan sponsors, designing plans to meet the most critical fiduciary standards in an increasingly stringent regulatory environment. She is co-founder and Principal of Fiduciary Retirement Advisory Group, a Pensionmark office, having built on her extensive experience in working with corporate retirement plan clients at USI and Morgan Stanley. Shannon earned a B.S. in biological sciences from the University of California, Irvine. She is currently a member of the National Association of Plan Advisors (NAPA) and serves as President of the Western Benefits & Pension Council, Orange County Chapter. Shannon has spoken at national conferences and local industry events on a variety of retirement plan focused topics.

She was selected as a delegate to the NAPA DC Fly-In Forum from 2015 - 2019, where the nation’s leading retirement plan advisors brief congressional leaders on the importance and future of workplace retirement plans. She was named among the Financial Times 401 Top Retirement Plan Advisors in 2016 and 2017 and was designated as a Captain in NAPA’s roster of Top Women Advisors from 2015 – 2019, an award granted to only 50 women nationwide.

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ALICIA MALCOLM CRPC®

Financial Advisor UBS Financial Services 250 Delaware Avenue, Suite 610 Buffalo, NY 14202

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201

BUSINESS STATISTICS Retirement Plans: 70 Retirement Assets: $3,000,000,000 Participants: 40,000

Team Name: The D’Aiutolo Malcolm & Associates Investment Consulting Group Retirement Plans: 70 Retirement Assets: $3,000,000,000 Participants: 40,000

MISSION STATEMENT To ensure that participants are adequately prepared for retirement. From educating people on the importance of saving to helping participants transition into their retirement years, I am a true believer that we can change the mind set of people to become super savers.

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BIOGRAPHY Alicia began her career in the financial services industry in 2009 and joined the D’Aiutolo Institutional Consulting Group in 2012. Her primary responsibilities include new business development, relationship management and working witha individuals as they near retirement.

She is committed to helping her clients achieve and sustain their financial and life goals through comprehensive financial planning. By understanding each client’s unique situation, she can then utilize the breadth of resources, research and ideas that the financial services industry has to offer along with proactive client service to navigate each client in the right direction to achieve success. Prior to joining UBS, Alicia worked for MassMutual in Buffalo, NY, where she assisted financial advisors in various capacities. She earned a BS in finance and marketing with a minor in economics from the University at Buffalo.

WORKING WITH RETIREMENT PLANS SINCE 2012

2020 NAPA D.C. FLY-IN FORUM

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JASPER MALLARD NAPA CPFATM

Retirement Plan Advisor HUB International 40 E. Alamar Ave Santa Barbara, CA 93105

BUSINESS STATISTICS Retirement Plans: 39 Retirement Assets: $80,000,000 Participants: 2,700

MISSION STATEMENT To excel at “supporting organizations with making prudent retirement plan decisions for the betterment of their valued employees.”

BIOGRAPHY As part of HUB International’s retirement plan division, Jasper serves as a Retirement Plan Advisor and supports HUB’s clients throughout the central and southern California region. Originally securities licensed in 2006, Jasper has enjoyed the opportunity to function in a range of capacities within the investment industry: initially advising individuals and families, then expanding to specialize in the non-ERISA governmental market, and ultimately evolving to specialize as a co-fiduciary to corporate retirement plans. Jasper appreciates the opportunity to serve in the retirement plan industry as it represents an effective way to have a positive influence on the financial future for thousands of participants.

He has been named among the top retirement plan advisors under 40 by NAPA. Living near Santa Barbara, CA, in his spare time, Jasper enjoys the variety of outdoor activities that the area has to offer: hiking, backpacking, golf, and road- and mountain-biking.

WORKING WITH RETIREMENT PLANS SINCE 2012

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ADVISORS

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SHANNON MALONEY Managing Director Strategic Retirement Partners 18600 Northville Rd., Suite 275 Northville, MI 48168

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BUSINESS STATISTICS Retirement Plans: 37 Retirement Assets: $432,000,000 Participants: 3,750

Team Name: Strategic Retirement Partners Retirement Plans: 750 Retirement Assets: $11,300,000,000 Participants: 215,000

MISSION STATEMENT

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We are independent, nationwide retirement consultants, and we represent the retirement aspirations of tens of thousands of employees.

It’s a huge responsibility, one that we wake to every day with a renewed and unparalleled commitment to excellence, supported by the latest technology, deep research capabilities, operational efficiencies and a craftsman-like focus on detail. Our common business philosophy and objective: to deliver best-in-class resources, service standards, and expertise to better serve our clients and help them achieve their financial goals. If we don’t look and sound like “Wall Street,” it’s intentional. We adhere to operating principles and values that emphasize independence, work ethic, and a laser-like focus on the needs of our clients.

BIOGRAPHY Shannon is one of the founders of Strategic Retirement Partners.

She serves as Managing Director for Michigan as well as the National Practice Leader for defined benefit plans and ESOPs. She is an inaugural winner of the 2015 NAPA Top Women Retirement Advisor All Star Award.

In 2016, she was recognized as one of NAPA’s Top Women Advisors, specifically as a “Captain.” And she was named to the 2016 edition of the Financial Times 401 Top Retirement Plan Advisers. She is a graduate of the University of Michigan and a veteran of the U.S. Army. She has her Certified Employee Benefits Specialist (CEBS) designation. Shannon holds series 7, 63 and 65 FINRA licenses and a life insurance license.

She is married and has two daughters.

WORKING WITH RETIREMENT PLANS SINCE 1996

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JIM KLOMPARENS

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MICHAEL MARKOVIC NAPA CPFATM

Sr. Retirement Plan Consultant Hightower Fiduciary Plan Advisors 921 East Fort Avenue, Suite 230 Baltimore, MD 21230

BUSINESS STATISTICS Retirement Plans: 45 Retirement Assets: $2,100,000,000 Participants: 32,500

Team Name: Hightower Fiduciary Plan Advisors Retirement Plans: 120 Retirement Assets: $5,200,000,000 Participants: 85,000

MISSION STATEMENT HighTower Fiduciary Plan Advisors is a team of experienced plan practitioners who leverage their knowledge to help plan sponsors better manage their retirement plans, drive better results and support more efficient plan operations. Our team believes that participant education is part of our responsibility as a plan advisor. One of our main goals is to help employees achieve financial freedom leading to improve retirement outcomes.

BIOGRAPHY Michael is a Senior Retirement Plan Consultant at HighTower Fiduciary Plan Advisors. Michael brings 30 years of experience as an ERISA paralegal, a retirement plan administrator, a benefits manager and an investment consultant. He earned his BS from the University of Delaware. He has also completed post-graduate studies at the Philadelphia Institute for Employee Benefits Training. Michael holds the Series 7, 63 and 65 licenses. He sits on the Paralegal Advisory Board for Stevenson University and enjoys coaching lacrosse, grilling/smoking while tailgating and sampling wines.

WORKING WITH RETIREMENT PLANS SINCE 1984

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ADVISORS

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GREGORY MARSH AIF®

Managing Director Bridgehaven Fiduciary Partners 58 Mount Bethel Road Warren, NJ 07059

BUSINESS STATISTICS Retirement Plans: 75 Retirement Assets: $3,200,000,000 Participants: 50,000

Team Name: Bridgehaven Fiduciary Partners Retirement Plans: 75 Retirement Assets: $3,200,000,000 Participants: 50,000

MISSION STATEMENT To provide fiduciary governance processes to plan sponsors and strategies for retirement readiness to plan participants.

BIOGRAPHY 152

Greg graduated in 1997 from American University in Washington, DC, with a BS in Finance. Pursuing his finance interest, Greg joined a Smith Barney wealth advisory team focusing on corporate client retirement planning. In 2000, Greg’s team moved their practice to Prudential Securities where he served as Director of Retirement Plans, growing the corporate 401(k) plan business. In 2009 Greg joined Bridgehaven Financial Advisors as Vice President and Corporate Retirement Plan Consultant. This position enabled Greg to utilize his post-Prudential plan provider experience to help plan sponsors fulfill their numerous fiduciary liability management process duties, which include plan administration, plan design and plan-level investment option oversight. In 2010 Greg was recognized by Wells Fargo and selected to participate in their Retirement Plan Advisors Program. In 2013 Greg further demonstrated his fiduciary education commitment by earning the Accredited Investment Fiduciary® designation awarded to industry experts who complete the Center for Fiduciary Studies™ rigorous testing regimen.

Greg has been named as one of NAPA’s “Top 50 Under 40” plan advisors, and was a speaker at the NAPA 401(k) Summit in 2014 and 2015.

WORKING WITH RETIREMENT PLANS SINCE 1997

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PAUL MASSEY AIF® • NAPA CPFA™ • C(K)P™

Financial Advisor The Noble Group / Raymond James 2591 Dallas Parkway, Suite 505 Frisco, TX 75034

BUSINESS STATISTICS Retirement Plans: 47 Retirement Assets: $141,000,000 Participants: 25,000

Team Name: The Noble Group Retirement Plans: 170 Retirement Assets: $1,150,000,000 Participants: 5,000

MISSION STATEMENT To bring clarity and confidence to individual’s essential financial decisions.

BIOGRAPHY Paul’s career in the financial services industry spans three decades.

Prior to joining our team, Paul ran his own retirement plan advisory practice. He joined The Noble Group in 2010, bringing his extensive knowledge of corporate retirement plans and wealth management with him. Applying “clients first” as his motto, Paul delivers a comprehensive and detailed service platform for our clients and is constantly looking for new ways to add value to our loyal client base. An advisor who works with both corporate retirement plans and individual financial planning clients, Paul’s experience alongside a high touch, individualized service model greatly benefits both types. He can act as a 3(21) fiduciary or offer our 3(38) fiduciary services to his retirement plans and holds the Accredited Investment Fiduciary (AIF®), the Certified 401(k) Professional (C(k)P®), and the Certified Plan Fiduciary Advisor (CPFA) designations.

Paul earned his B.S. in accounting from Liberty University in Lynchburg, Virginia. He resides in the Dallas area with his wife and three daughters.

WORKING WITH RETIREMENT PLANS SINCE 2000

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ADVISORS

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JOSEPH MATTIA AIF® • AIFA® • C(k)P™

Director, Retirement Plan Advisory RSM US Wealth Management 20 N. Martingale, Suite 500 Schaumburg, IL 60173

BUSINESS STATISTICS Retirement Plans: 46 Retirement Assets: $364,268,247 Participants: 4,319

Team Name: RSM Retirement Plan Advisory Services Retirement Plans: 98 Retirement Assets: $776,000,000 Participants: 7,850

MISSION STATEMENT

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RSM US Wealth Management LLC (WM) is a registered investment advisory firm and provides clients with comprehensive financial planning, investment advisory and risk management services. Our WM team provides advisory services to affluent families, business owners and executives for companies large and small. Working closely with the Private Client Services team and other tax professionals, WM provides clients with a disciplined and objective approach to managing wealth, positioning them to meet their financial goals, both today and in the future. RSM US Wealth Management LLC provides investment advisory services, financial planning and other wealth management services to individuals and businesses. RSM US Wealth Management LLC is an SEC-registered investment advisor.

BIOGRAPHY Joe is an experienced wealth advisor and retirement plan subject matter expert dedicated to helping small- and middle-market business clients mitigate fiduciary risk while preparing themselves and their employees for retirement. Prior to joining RSM in December 2016, he spent 11 years operating an independent investment and retirement consulting practice.

In his current role, Joe delivers fiduciary advice and consultation on complex retirement matters to plan sponsor clients. In addition to investment advice and plan design consultation, he assists with provider searches, plan fee benchmarking, employee wellness initiatives and vendor management. He holds the C(k)P® Certified 401(k) Professional and Accredited Investment Fiduciary® (AIF®) designations. He is a registered investment advisor representative and earned a Bachelor of Science degree in health science from Illinois State University.

WORKING WITH RETIREMENT PLANS SINCE 1999

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MICHAEL McCABE AIF® • NAPA CPFATM

President Trinity Investment Advisors 136 North Church Street West Chester, PA 19380

BUSINESS STATISTICS Retirement Plans: 28 Retirement Assets: $200,000,000 Participants: 3,500

MISSION STATEMENT Working exclusively in the retirement plan/401(k) space to give plan sponsors the ability to help their employees prepare for retirement.

Providing fiduciary oversight for plan sponsors and promoting total disclosure and transparency.

BIOGRAPHY Michael is the founder and President of Trinity Investment Advisors, an independent consulting firm serving retirement plan sponsors and investment committees. Prior to forming Trinity, Michael worked as an investment fiduciary with a regional consulting and recordkeeping firm serving hundreds of plans and thousands of participants.

For over 20 years, Michael has been advising clients on plan investments, speaking at industry conferences, and participating in advisor panels at several events, including the American Society of Pension Professionals & Actuaries’ national conference and the Morningstar Investment Services conference. He has also been quoted in trade publications such as Wealth Management magazine, the Frank Russell Company magazine and Financial Advisor magazine.

Michael is a member of the Plan Sponsor Council of America and the American Society of Pension Professionals & Actuaries. He serves on the ASPPA Benefits Council. He holds a BS from Villanova University’s School of Business, and serves in the VSB Mentor Program.

WORKING WITH RETIREMENT PLANS SINCE 2010

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ADVISORS

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PATRICK McKIERNAN C(k)P™

SVP RBC Plan Resource Group 300 North Lake Avenue, Suite 1010 Pasadena, CA 91024

BUSINESS STATISTICS Retirement Plans: 54 Retirement Assets: $3,200,000,000 Participants: 43,000

MISSION STATEMENT

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The Plan Resource Group at RBC Wealth Management aims to work with plan sponsors and participants to create employee retirement programs that truly assist participants to be on a path towards a dignified retirement. Through consistent oversight of plan fee structure, design and financial wellness programs, our team works to provide clarity and simplicity to plan sponsors as they work towards their goals of attracting and retaining talent as well as creating a culture of wellness at their organization.

BIOGRAPHY Patrick holds the Certified 401(k) ProfessionalÂŽ designation from the Retirement University at UCLA Anderson Business School and is a member of the Government Affairs Committee of the National Association of Pension Advisors (NAPA). He has been a speaker at Professionals in Human Resources Association events and has participated in past NAPA DC Fly In Forums to discuss the retirement plan industry with policy makers. He has also been a speaker and contributor for the Association of Legal Administrators events and journals. Patrick is a co-team lead and focuses on plan fee structure benchmarking and monitoring.

WORKING WITH RETIREMENT PLANS SINCE 1993

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JOHN McSORLEY AIF® • QPFC

Managing Partner Guidance Wealth, LLC 3140 Windsor Ct. Elkhart, IN 46514

BUSINESS STATISTICS Retirement Plans: 20 Retirement Assets: $112,000,000 Participants: 8,000

MISSION STATEMENT The mission of Guidance Wealth is to provide a reliable source of direction to help our clients improve the quality of their financial assets and their lives.

BIOGRAPHY John is the co-founder and Managing Partner of Guidance Wealth, LLC, Guidance Investment Advisors, LLC, and Guidance Tax & Accounting, LLC. In addition to working with a significant number of private wealth clients, John also heads Guidance Wealth’s Qualified Plan Development, working both in a direct advisory capacity and as a fiduciary consultant to ERISA retirement plans, and is a member of the National Association of Plan Advisors and Fi360. In addition to passing the FINRA Series 7 and 66, he holds the specific pension industry designations of QPFC (Qualified Plan Financial Consultant) through the American Society of Pension Professionals and Actuaries (ASPPA) and AIF® (Accredited Investment Fiduciary®) through fi360 and Center for Fiduciary Studies.

WORKING WITH RETIREMENT PLANS SINCE 2004

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ADVISORS

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KEN MERGEN CPC

Vice President Group Retirement Plans Retirement Plan Advisors 105 W Adams Street, Suite 2175 Chicago, IL 60603

BUSINESS STATISTICS Retirement Plans: 22 Retirement Assets: $750,000,000 Participants: 20,000

MISSION STATEMENT

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Retirement Plan Advisors specializes in retirement planning for the hardworking people who make our communities work. We speak public sector retirement and are fluent in the details of governmental deferred compensation and defined contribution plans. As an Independent Registered Investment Adviser, we provide plan design, onsite employee education and investment advisory services to public sector retirement plans. We stand with you as a fiduciary on your plan, providing even the smallest communities with the same high-quality retirement plans and advice found on Wall Street.

BIOGRAPHY Ken is responsible for supporting RPA’s field effort including new retirement plan acquisitions, financial advisor training, and strategic planning. He began his financial services career in 1995 at a leading financial firm, managing their group retirement plan call center. He joined one of America’s largest finance and insurance companies in 1999 and began serving the public sector as an investment advisor representative.

Advancing to become one of four national Regional Sales Directors in 2006, Ken provided new case acquisition and development to 12 states in the Northeast and MidAtlantic regions. He is a graduate of Rutgers University, with a Bachelor of Science degree in Economics. He holds FINRA Series 7, 26, 63, and 66 registrations and is licensed to sell life and health insurance, including variable contracts, in Pennsylvania.

WORKING WITH RETIREMENT PLANS SINCE 1995

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CHIP MERRICK AIF® • NAPA CPFA™ • CRPS® • C(k)P™

Retirement Consultant RCM&D 555 Fairmount Ave Towson, MD 21286

BUSINESS STATISTICS Retirement Plans: 51 Retirement Assets: $870,000,000 Participants: 8,500

Team Name: RCM&D Retirement Services Retirement Plans: 51 Retirement Assets: $870,000,000 Participants: 8,500

BIOGRAPHY Chip is a member of RCM&D’s Retirement Services practice and works with a variety of retirement plan types. As part of the team he uses his vast knowledge and prior experience to provide in-depth advice and the highest level of service to his clients. As a sales executive, Chip provides investment and retirement plan consulting for 401(k), 403(b), DB and NQDC plans. He collaborates closely with his clients to offer independent and objective advice regarding their retirement plans. Chip also provides fiduciary guidance and protection related to investment monitoring, fee benchmarking, IPS enhancement, RFP searches and plan design.

Prior to joining RCM&D, Chip worked as a retirement plan consultant for more than 15 years, holding positions as a Vice President-Regional Retirement Director for Legg Mason, Citi Smith Barney and Morgan Stanley, and as a retirement plan consultant for Bolton Partners. In his previous roles, Chip honed his consultative approach and worked with plan sponsors on a variety of needs including provider search, plan benchmarking, investment analysis and asset allocation, fiduciary oversight, plan design, and regulatory updates.

Chip earned his Bachelor of Arts degree in History from Washington College and holds FINRA Series 7 and 63 and Life, Accident and Health Insurance licenses along with both the C(k)P, NAPA CPFA™, CRPS® and AIF® designations.

WORKING WITH RETIREMENT PLANS SINCE 2000

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ADVISORS

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GREGORY METZGER NAPA CPFA™ • NQPA

Senior Consultant North Pier Fiduciary Management 4333 Admiralty Way, G1-West Marina Del Rey, CA 90292

BUSINESS STATISTICS Retirement Plans: 20 Retirement Assets: $1,128,000,000 Participants: 20,000

Team Name: North Pier Retirement Plans: 20 Retirement Assets: $1,128,000,000 Participants: 20,000

MISSION STATEMENT North Pier Search Consulting is dedicated to offering specialty consulting services to fiduciaries of all types. Based in Los Angeles, our clients are some of the nation’s leading businesses, non-profits, foundations, and endowments coast-to-coast. We believe in independent, fee-only, vendor neutral advice—devoid of the status quo conflicts of interest that still permeate the advisory industry.

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BIOGRAPHY Greg began his career in retirement consulting in 1985 at Kwasha Lipton.

In 1990, he joined Towers Perrin as a Consultant. At Ernst & Young, he became the National Practice Leader for Defined Contribution in 1992.

In 1996, he became the Director of Defined Contribution Consulting, North America. At Watson Wyatt, he created and led a vendor selection service that served over 200 clients and placed more than $90 billion in assets. Greg is a thought leader in consulting and vendor search.

He conceived and developed “the 360o Vendor Conference” to elevate industry standards. He conceived and co-developed PathfinderTM, creating a new market with multi-billion dollar annual transaction volume.

He also co-developed the 401(k) value index used by over 400 plan sponsors to measure the effectiveness of their plans. Greg has authored and published papers and articles, as well as spoken and led national conferences. He as selected by the National Defined Contribution Council to educate the U.S. Congress on retirement issues. He majored in Economics and History at Antioch College in Yellow Springs, OH. In 1996, he studied leadership at the Harvard Business School, and was a guest lecturer at Wharton School of Business from 1999 to 2001.

WORKING WITH RETIREMENT PLANS SINCE 1985

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MATTHEW MONROE NAPA CPFATM

Managing Partner Independent Retirement Partners, LLC 5000 Brittonfield Parkway, Suite 106 East Syracuse, NY 13057

BUSINESS STATISTICS Retirement Plans: 75 Retirement Assets: $235,000,000 Participants: 4,000

MISSION STATEMENT Our mission is simple: To help plan sponsors make informed decisions regarding their plan, and to positively impact retirement saving outcomes for themselves and their participants.

BIOGRAPHY Matt is the Managing Partner of Independent Retirement Partners, LLC. Matt maintains professional designations such as Accredited Investment Fiduciary® (AIF), Chartered Retirement Plans Specialist® (CRPS) and Accredited Asset Management Specialist® (AAMS). He participates in continuing education that focuses on the 401(k) and retirement plan industry. The aim of this continuing education is to better assist the participants, plan sponsors and trustees of 401(k) plans. He currently assists over 70 small and mid sized business owners and plan administrators with their 401(k) plans. Matt has also acted as an institutional equity broker assisting fund managers, portfolio managers and equity analysts in Belgium, Luxembourg and The Netherlands.

Matt’s professional highlights: • Florida Atlantic University BA Ocean Engineering • FINRA Series 7, 63 • SEC Registered Investment Advisor Series 65 • Accredited Asset Management Specialist • Chartered Retirement Plans Specialist • Accredited Investment Fiduciary

WORKING WITH RETIREMENT PLANS SINCE 2006

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ADVISORS

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DAVID MONTGOMERY AIF® • NAPA CPFA™ • CRPS® • C(k)P™

Co-Founder & President Fidelis Fiduciary Management 14502 N. Dale Mabry Highway, Suite 328 Tampa, FL 33618

ACES

2020

NAPA’S TOP PLAN ADVISORS UNDER 40

BUSINESS STATISTICS Retirement Plans: 55 Retirement Assets: $510,000,000 Participants :8,600

Team Name: 1) Fidelis Fiduciary Management 2) Montgomery Retirement Plan Advisors Retirement Plans: 100 Retirement Assets: $2,000,000,000 Participants: 32,000

MISSION STATEMENT

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We empower plan sponsors and other advisors to create a retirement plan environment that has a generational impact by transforming employee savings and investing behavior. Every advisor and plan sponsor we work with is different, and we take pride in offering the flexibility and expertise to provide a customized approach to fit their specific needs.

BIOGRAPHY David has over 15 years of experience in the retirement plan field. After working 5 years handling both individual and retirement plan accounts with a top investment firm, he desired to make a greater impact on retirement plan health and retirement outcomes. This led him to join Montgomery Retirement Plan Advisors. In late 2013 David co-founded Fidelis Fiduciary Management in response to a growing desire for advisors to partner with a consultative ERISA 3(38) investment fiduciary when the advisor either cannot or chooses not to serve in this capacity.

In 2016-2020, David was named to NAPA’s Top Retirement Plan Advisors Under 40. He was also named to the 2018 and 2019 Financial Times Top 401 Advisors list. One way David gives back is by volunteering his time as President for the Florida West Coast Employee Benefits Council.

WORKING WITH RETIREMENT PLANS SINCE 2005

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MICHAEL MONTGOMERY AIF® • NAPA CPFA™ • C(k)P™

Managing Principal Montgomery Retirement Plan Advisors 14502 N. Dale Mabry Hwy, Suite 328 Tampa, FL 33618

BUSINESS STATISTICS Retirement Plans: 30 Retirement Assets: $1,200,000,000 Participants: 30,000

Team Name: Montgomery Retirement Plan Advisors Retirement Plans: 130 Retirement Assets: $2,100,000,000 Participants: 39,000

MISSION STATEMENT Montgomery Retirement Plan Advisors is an independent, fee-based consulting firm dedicated exclusively to employer sponsored retirement plans. Our mission is to deliver carefully tailored fiduciary guidance based on a thorough understanding of each client’s unique objectives.

We serve as an ERISA investment fiduciary and help empower those responsible for managing their organization’s retirement programs to elevate plan governance, inspire a generational impact on employees and optimize retirement plan programs. We pride ourselves on helping navigate and simplify retirement plan complexities while communicating in clear, actionable terms. We love what we do and take pride in the quality of our work. Our practical and objective consulting approach is one that our clients recommend to their peers, prefer for their employees and are proud to have on their side.

BIOGRAPHY Michael Montgomery has over 43 years of experience in the retirement plan field, founding Montgomery Retirement Plan Advisors in 2004 after achieving success as a pension specialist or regional manager for several leading retirement plan providers. In 2014 he co-founded Fidelis Fiduciary Management to offer interactive 3(38) fiduciary services in partnership with non-fiduciary financial advisors. Mike believes in making a positive contribution to industry best practices, and has been a frequent writer and speaker on fiduciary issues. He and his team have been recognized by NAPA, Fi360, Financial Times, Plan Adviser, and 401kWire for their commitment to retirement plan best practices and thought leadership. In 2009 his firm became one of the earlier advisory firms to be CEFEX certified by the Centre for Fiduciary Excellence as a fiduciary advisor to defined contribution plans, including specific certification for ERISA 3(38) services and non-ERISA fiduciary practices for governmental entities.

WORKING WITH RETIREMENT PLANS SINCE 1977

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ADVISORS

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JANINE MOORE AIF® • NAPA CPFATM

SVP, Retirement Practice Leader - Texas HUB International 9731 Wortham Blvd., Suite 105 Houston, TX 77065

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BUSINESS STATISTICS Retirement Plans: 38 Retirement Assets: $900,000,000 Participants: 15,000

Team Name: Peak Financial Group, a division of HUB International Retirement Plans: 128 Retirement Assets: $2,000,000,000 Participants: 38,000

MISSION STATEMENT We are passionate about helping Americans choose their day to retire and launch version 2.0 of their life, whether that involves pursuing a new hobby, volunteering for a cause or spending more time with family.

BIOGRAPHY 164

Janine Moore helps to position retirement plan participants of all backgrounds and income levels to retire with dignity by teaching them to save systematically for retirement. With over 30 years of experience in the financial services industry, Janine strives to positively affect the lives of her clients on both a personal and professional level. She co-founded Peak Financial Group in 2002 and served as Principal until the HUB International acquisition in 2019. Prior to Peak, she served the retirement planning needs of clients with MassMutual Life Insurance Company and Nationwide Insurance. She has earned several industry designations to deepen her expertise. Janine has led and contributed to a number of professional and non-profit organizations committed to improving the lives of others. She is an active member of the National Association of Plan Advisors and recently served as the Co-Chair for the Women in Retirement Conference. Her team has been named to the Top DC Advisor list, and she is a NAPA Top Woman Advisor. Janine also proudly served as a Staff Sergeant with the Ohio Air National Guard for eight years. Janine’s faith and family are her first priority, and she has been happily married to John for 30 years.

WORKING WITH RETIREMENT PLANS SINCE 1989

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RICHARD MOORE AIF® • C(k)P™ • QPFC

Financial Advisor CCR Wealth Management, LLC 24 Kanes Crossing Worcester, MA 01609

BUSINESS STATISTICS Retirement Plans: 345 Retirement Assets: $550,000,000 Participants: 10,000

MISSION STATEMENT CCR Wealth Management is an independently managed investment firm that provides thorough, customized financial planning solutions and strategic, disciplined portfolio management to individuals, corporations, and institutions. Our team acts as personal advisors, empowering our clients with long-term wealth strategies, individualized financial plans, and strategic investment management solutions to help them achieve their lifelong goals.

BIOGRAPHY Richard is a Retirement Consultant with CCR Wealth Management, LLC. He earned a BS degree in Business Administration from Bryant University. Richard’s prior experience includes working for two major Wall Street firms as a financial advisor. His focus as an advisor was helping to provide wealth management solutions to affluent individuals and small business owners. Richard is responsible for analyzing retirement options for prospective and current corporate clients. His goal is to assist plan sponsors in providing the finest retirement plan outcome possible for his clients and their participants. Keys to achieving that goal are helping plan sponsors manage their retirement plan as efficiently and cost effectively as possible as well as educating plan participants on the future of retirement. Richard is an active member of the Corporate Services Committee.

WORKING WITH RETIREMENT PLANS SINCE 2003

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MICHAEL MORRIS CRPS® • C(k)P™ • NQPA

Managing Director Pensionmark 716 Sycamore Street, T1501 Cincinnati, OH 45202

BUSINESS STATISTICS Retirement Plans: 29 Retirement Assets: $425,000,000 Participants: 8,900

MISSION STATEMENT Pensionmark is a nationwide network of top retirement plan specialists and financial advisors. We have built a comprehensive retirement plan service model that strives for your plan to have better outcomes with less effort. Personal service from a leading local support team backed by the resources of a big firm.

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With Pensionmark you get the best of both worlds, working with an experienced local advisor backed by a network of support specialists.

We monitor, negotiate, and advocate. Our advisors learn from each other.

Our education programs and smart tools are designed to help people get ready for retirement, faster. Our support team answers their questions.

Pensionmark’s team is your team.

BIOGRAPHY Michael E. Morris, AIF®, CRPS®, C(k)P, is a Managing Director for Pensionmark and is responsible for the development and oversight of the institutional consulting business in the retirement plan marketplace for corporate, nonprofit and the government plan marketplace throughout the Mid-Central region. Mr. Morris has more than two decades of industry experience and has been recently named to the 2017, 2018 and 2019 editions of the Financial Times “401 Top Retirement Plan Advisors.” He was recognized in PLANSPONSOR Magazine’s article of “who the best Advisors are.” Michael was also recognized by the DCPI Institute from 2009-2012 as a “Top 300 influencer” within the retirement plan marketplace. Michael is a founding lecturer of The Retirement Advisor University (TRAU), a collaboration with UCLA Anderson School of Management Executive Education, and is also a founding lecturer of The Plan Sponsor University (TPSU). He is quoted frequently and is also a contributor to major industry conferences, including ASPPA, CFDD, NAPA, RPAG, PLANSPONSOR and PLANADVISER. Mike currently holds the Accredited Investment Fiduciary (AIF®), Chartered Retirement Plan Specialist (CRPS®), and the Certified 401(k) Professional (C(k)P) designations. He earned a B.A. from Xavier University.

WORKING WITH RETIREMENT PLANS SINCE 1990

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CHRIS MOSELEY CRPS® • QPFC

Director of Business Strategy Graystone Consulting 3280 Peachtree Rd., Suite 1900 Atlanta, GA 30305

BUSINESS STATISTICS Retirement Plans: 35 Retirement Assets: $600,000,000 Participants: 20,000

Team Name: Graystone Consulting – Atlanta Retirement Plans: 70 Retirement Assets: $1,200,000,000 Participants: 10,000

MISSION STATEMENT Graystone Consulting’s mission is to set the industry standard for objective, full-service, leading edge consulting services which focus on meeting the needs of our institutional investor clients. We integrate advanced technology, provide reports and deliver access to the global financial services of Morgan Stanley. We are committed to providing complete objectivity, independence and transparency in the advice we give our clients.

As a result of our mission, clients are empowered to make informed investment decisions that can help them meet or exceed their investment objectives.

BIOGRAPHY Chris is Vice President and Director of Business Strategy. As the face of Graystone Consulting–Atlanta’s retirement plan efforts, he provides institutional clients with consultative services ranging from plan design and vendor search to education initiatives designed to increase 401(k) deferral and participation rates. He began his career at Invesco, where he learned the retirement plan business from the ground up, serving in a number of administrative capacities before transitioning to institutional sales. Chris’ focus includes not only 401(k) and other defined contribution plans, but traditional pension plans for which he is often called upon to present asset allocation and asset liability studies, as well as potential plan termination strategies. A native of Atlanta, Chris graduated from the University of Georgia with a B.A. in Economics before earning an MBA at Georgia State. Outside the office, he has served as president and treasurer of the PTA board at his children’s elementary school. He and his family reside in Tucker, Georgia.

WORKING WITH RETIREMENT PLANS SINCE 2001

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ADVISORS

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AKSANA MUNOZ

QPA

Client Service Manager BFSG 2040 Main Street, Suite 720 Irvine, CA 92614

BUSINESS STATISTICS Retirement Plans: 25 Retirement Assets: $450,000,000 Participants: 5,000

Team Name: BFSG Retirement Plans: 90 Retirement Assets: $12,000,000,000 Participants: N/A

MISSION STATEMENT As fiduciaries, we strive to provide full transparency to our clients and place their interests first. Benefit Financial Services Group, through its Institutional Services and Wealth Management divisions, is committed to providing the highest quality service and solutions to our retirement plan consulting and individual wealth management clients.

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BIOGRAPHY Aksana joined Benefit Financial Services Group in 2013 focusing on investment and retirement plan research. Her previous experience includes risk analysis of daily executed energy trades for Exelon Corporation, as well as providing assistance for a business development team at JP Morgan Chase, Investment Bank. Aksana graduated from Drexel University, Philadelphia, with a bachelor’s degree in Business Administration and a concentration in Finance. She currently holds the ASPPA Qualified 401(k) Administrator (QKA) designation and is an Investment Advisor Representative of BFSG, LLC.

WORKING WITH RETIREMENT PLANS SINCE 2013

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| ADVISORS

Focused on What Matters Most to You The clients who hire you appreciate your core strengths and the fact that you focus on what matters most to them.

In that spirit, it’s nice to know you have a partner in LPL 169 Financial who is focused on what matters most to you.

Advocating for retirement plan participants. Many of our financial professionals tell us that improving retirement outcomes for plan participants is the most important thing they do. LPL focuses on helping you deliver on this value proposition.

Staying on top of regulatory and legislative issues.

Having access to our government relations group gives many of our financial professionals tremendous peace of mind.

Through our Political Action Committee we represent what’s in the best interest of your plan sponsors and participants.

Supporting financial professionals and their practice.

Our internal and external retirement consultant teams offer you operational support and marketing resources all along the way, to help you compete in a tough market.

Let Us Focus On You Today lpl.com Member FINRA/SIPC Tracking #1-865454

ADVISORS

| NAPA D.C. FLY-IN FORUM 2020

JASON NAVARRO AIF® • CRPS®

Managing Partner New England Wealth Management 27 Garden Street, Suite1A Danvers, MA 01923

BUSINESS STATISTICS Retirement Plans: 48 Retirement Assets: $700,000,000 Participants: 8,000

MISSION STATEMENT We help corporate and private clients make smart decisions to achieve their financial goals.

BIOGRAPHY

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Jason is New England Wealth Management’s leading expert in the design and management of company retirement plan strategies. With over 20 years of ERISA qualified retirement plan experience, he is dedicated 100% to retirement plan consulting and known as a go-to expert in helping companies and nonprofits with their retirement plan needs. To assist in the complexities of business wealth management, he has attained the advanced financial planning designation, the ChFC® (Chartered Financial Consultant®), through the American College.

Specializing in the retirement plan space, he has also attained the CRPS® (Chartered Retirement Plan Specialist®) designation through the College of Financial Planning. In addition, Jason has acquired numerous industry registrations, certifications, and appointments including the Accredited Investment Fiduciary® (AIF)® designation. Often you will find Jason presenting at speaking engagements, educating companies on best practices with regard to their retirement plan. Every year since 2016, Jason has been listed as one of the nation’s top 401 401(k) advisers by the Financial Times. Jason was also Boston Magazine’s 2019 and 2020 winner of the Five Star Wealth Manager award.

WORKING WITH RETIREMENT PLANS SINCE 1998

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KARIE O’CONNOR AIF® • AIFA® • NQPA

Financial Advisor, Retirement Benefit Consultant Merrill Lynch 1033 Skokie Blvd, Suite 500 Northbrook, IL 60062

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BUSINESS STATISTICS Retirement Plans: 20 Retirement Assets:$30,000,000 Participants: 5,000

Team Name: Gelb Retirement Advisory Team, Merrill Retirement Plans: 80 Retirement Assets: $1,500,000,000 Participants: 15,000

MISSION STATEMENT Consultative, proactive retirement plan solutions for retirement plan sponsors to drive engagement of plan participants is our passion.

Keeping you and your participants front of mind as we do so is our primary focus.

BIOGRAPHY Karie is an accomplished and forward-thinking retirement plan specialist, consultant and Investment Advisor Representative with more than 30 years of progressive experience across all facets of the retirement plan industry. Recognized of one of NAPA’s Top Women Advisors (2015, 2016, 2017). Committed to helping retirement plan sponsors manage fiduciary responsibilities through the adoption of industry best practices. Experience includes consultation on proactive plan designs, technical and administrative solutions, ongoing investment due diligence of the participant lineup, recordkeeping request for proposals and fee benchmarking and negotiations for plan sponsors. Passionate professional committed to driving successful retirement plan outcomes for plan participants and employee education initiatives. Registered and Investment Advisor Representative with extensive experience with multiple provider platform solutions, compliance testing, business development and strategic initiatives. Assumed LPL Financial OSJ Supervisory Responsibilities for her branch in May 2017.

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THOMAS PARKER NAPA CPFATM • C(k)P™

Partner Vertical Financial Group, LLC 680 N. Lake Shore Dr, Suite 2050 Chicago, IL 60611

BUSINESS STATISTICS Retirement Plans: 70 Retirement Assets: $1,000,000,000 Participants: 12,000

Team Name: Vertical Financial Group Retirement Plans: 95 Retirement Assets: $1,250,000,000 Participants: 13,500

MISSION STATEMENT

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With over a century of collective experience, we understand the most important thing that we do is understand your unique situation and challenges. Whether you are looking for help with your company’s retirement plan or assistance building a personal wealth plan including attention to investments, insurance, estate planning, medicare, life transitions and taxes, we are here to help. Together we will set goals, define strategies and make sure that your plan will hit the mark to improve outcomes.

BIOGRAPHY Thomas H. Parker, C(k)P®, NAPA CPFA™, has been a qualified retirement plan specialist for nearly 40 years. He is known for his high degree of knowledge and experience for helping businesses implement and optimize group retirement plans, as well as helping improve plan outcomes for participants. Parker maintains his Certified 401(k) Professional designation, C(k)P®, which recognizes his practical retirement plan management experience and the completion of a comprehensive educational program. He is also recognized as a NAPA Certified Fiduciary Plan Advisor (CPFA), which demonstrates his knowledge and commitment to acting as a plan fiduciary or helping plan fiduciaries manage their roles and responsibilities. This fiduciary duty requires he serve the best interests of his clients above all else.

Additionally, he holds his Series 6, 63 and 65 securities licenses, as well as life, health and variable annuity insurance licenses in multiple states.

Parker is a member of the National Association of Plan Advisors (NAPA), a professional society and advocacy group with the mission to enhance retirement security in America. He also belongs to the Retirement Plan Advisory Group (RPAG), one of the largest professional consulting networks dedicated to improving investment opportunities through investment analysis, plan design, fee benchmarking and employee communications.

WORKING WITH RETIREMENT PLANS SINCE 2001

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JASON COLIN PATRICK AIF® • NAPA CPFA™ • C(k)P™

Principal ACES

2020

NAPA’S TOP PLAN ADVISORS UNDER 40

Fiduciary Advisors, LLC 895 Dove Street, Suite 300 Newport Beach, CA 92660

BUSINESS STATISTICS Retirement Plans: 33 Retirement Assets: $290,000,000 Participants: 7,500

MISSION STATEMENT Fiduciary Advisors’ mission follows five distinct principals. The firm is fully TRANSPARENT. The company’s INDEPENDENCE helps to reduce conflicts of interest. BEST PRACTICES help us drive better results and improved outcomes for our clients and their participants. We constantly look to INNOVATE our processes and deliverables to help create a more positive retirement plan experience. We believe it starts and ends with the CLIENT. By taking the time to understand our clients and their participants, Fiduciary Advisors implements solutions that help create impactful change for a company’s retirement plan and their participants.

BIOGRAPHY Jason is the Principal of Fiduciary Advisors, LLC, and retains his Series 7, Series 6, Series 63 and Series 66 licenses and holds the Certified 401(k) Professional® designation. He earned his B.S. degree in business finance and also retains an Accredited Investment Fiduciary® and Certified Plan Fiduciary Adviser designation. In 2017, he was named by the National Association of Plan Advisors as one of the Nation’s Top 75 Advisors Under 40, and in 2019 and once again in 2020, he was recognized by the National Association of Plan Advisors as one of the Nation’s Top 100 Advisors Under 40. In 2019, the Financial Times also named Jason one of the 401 Top Retirement Advisors in the Nation.

Since 2015, Jason has represented the firm’s clients and the retirement industry on Capitol Hill in Washington, D.C. Aside from running Fiduciary Advisors, in Jason’s free time he bikes, kayaks and runs throughout Newport Beach; enjoys traveling and spending time with friends and family; and supports various charities, to include the National Stroke Association, Orange County Rescue Mission, Thomas House, Isaiah House, Canine Companions for Independence and the Insuring the Children Foundation.

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DANIEL PELUSE AIF® • NAPA CPFATM • CRPS® • C(k)P™

Executive Director Wintrust Retirement Benefits Advisors 231 S. LaSalle St., 13th Floor Chicago, IL 60604

ACES

2020

NAPA’S TOP PLAN ADVISORS UNDER 40

BUSINESS STATISTICS Retirement Plans: 172 Retirement Assets: $2,085,000,000 Participants: 58,000

Team Name: Wintrust Retirement Benefits Advisors Retirement Plans: 172 Retirement Assets: $2,085,000,000 Participants: 58,000

MISSION STATEMENT To assist our plan sponsor clients and their participants navigate the retirement plan landscape and aligning our goals to create and implement a secure and successful retirement benefit.

BIOGRAPHY 174

Dan graduated from Elmhurst College with a degree in Finance and has 12 years of experience in the financial services industry. He began his career in 2002 at Morgan Stanley Smith Barney, specializing in retirement plans, specifically defined contribution and defined benefit plans. Dan joined Wintrust Wealth Management as director of corporate plan services in June 2013. Dan has earned the designation of Chartered Retirement Plan Specialist (CRPS®) from the College of Financial Planning, Accredited Investment Fiduciary (AIF®) from the Center for Fiduciary Studies & Certified Behavioral Finance Analyst (CBFA®) through Allianz Investments & Professor Shlomo Benartzi of UCLA. Dan was recognized by PLANSPONSOR magazine as one of five finalists for the magazine’s ‘Retirement Plan Adviser Team of the Year’ in 2011 and was also recognized as one of PLANADVISER magazine’s ‘Top 100 Advisers’ for 2010, 2011, 2012, 2013 and 2014. Dan is also a member of NAPA. Dan maintains his Series 7, 63, 65 and Life & Health Insurance licenses.

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Numbers tell only half the story.

Your investments deserve the full story. troweprice.com/thefullstory | 1-877-561-7670

T. Rowe Price Investment Services, Inc.

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MICHAEL PERRY AIF® • NAPA CPFA™ • CPC

President Retirement Advisors 15601 Dallas Parkway, Suite 900 Addison, TX 75001

BUSINESS STATISTICS Retirement Plans: 25 Retirement Assets: $268,368,022 Participants: 4,000

MISSION STATEMENT

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Retirement Advisors, LLC, is an SEC Registered Investment Advisory firm dedicated solely to providing unbiased, independent consulting services for retirement plans and individuals. The fundamental tenants are clear: to simplify and improve the financial lives of clients, based on absolute integrity, personalized services, full fee disclosure, professionalism, adherence to strict ethical and compliance policies and attention to detail. Building strong, long-term relationships that are mutually beneficial to all concerned.

BIOGRAPHY Michael is the President of Retirement Advisors, LLC. He served as a vice president of MBM Advisors, a regional pension administration and investment advisory firm, from 1998-2008. Previously, he served as the president of Actuarial Consultants from 1980-1998. Michael graduated from the University of Texas with a BBA in Actuarial Science in 1980.

He previously served on the Board of Directors, as an Officer, on the Government Affairs and Education and Examination Committees of the American Society of Pension Professionals & Actuaries and as a Member and Chair of EP for the Mid-States Key District IRS EP/EO Council.

WORKING WITH RETIREMENT PLANS SINCE 1980

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JEFFREY PETRONE AIF® • QPFC

Managing Director SageView Advisory Group 1645 Palm Beach Lakes Blvd., Suite 1200 West Palm Beach, FL 33401

BUSINESS STATISTICS Retirement Plans: 64 Retirement Assets: $2,200,000,000 Participants: 100,000

Team Name: SageView Advisory Group, West Palm Beach office Retirement Plans: 74 Retirement Assets: $2,300,000,000 Participants: 102,000

BIOGRAPHY Jeffrey Petrone is the Managing Director for SageView Advisory Group’s Florida office. His primary focus is helping clients navigate the challenges of managing qualified and nonqualified retirement plans including 401(k) plans, 403(b) plans and various other defined contribution and defined benefit plans. His responsibilities include advising clients on plan design, compliance and in-depth investment consulting issues. Jeff has dedicated over 19 years to improving retirement plans and provides thought leadership to some of the largest retirement plan administrators in the country by serving on their financial advisory boards. Throughout his career, Jeff has been recognized as a leader by several organizations.

In 2014 and 2018, Jeff was recognized in NAPA’s “Top 50 under 40.”

In 2010, Jeff was recognized by 401k Wire as one of the “300 Most Influential Advisors in Defined Contribution” and named as one of the Top 100 Retirement Plan Advisors by PLANADVISER Magazine.

The South Florida Business Journal named Jeff as one of the Top 40 Business Professionals in south Florida for 2012. Jeff is active within his industry and served on the steering committee for the NAPA 401(k) Summit, the industry’s national 401(k) convention.

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LISA PETRONIO

NAPA CPFA™

Managing Director Strategic Retirement Partners 801 Main Street Buffalo, NY 14203

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BUSINESS STATISTICS Retirement Plans: 40 Retirement Assets: $685,000,000 Participants: 16,000

Team Name: Strategic Retirement Partners Retirement Plans: 750 Retirement Assets: $11,300,000,000 Participants: 215,000

MISSION STATEMENT We believe that after working for decades during your lifetime, you should be able to retire with dignity and grace. Our sole focus is helping to make that happen.

BIOGRAPHY 178

As Managing Director at Strategic Retirement Partners, Lisa manages the growth and service of retirement plan consulting in upstate New York. She serves as a trusted advisor to help clients manage the fiduciary responsibilities associated with qualified plans. Lisa began her career as a business resource coordinator, serving as a retirement plan specialist for a team of 65 advisors. In 2015, she joined Walsh Duffield to manage their retirement division. Lisa graduated from SUNY Buffalo with a degree in business administration. Lisa was named Top Advisor

by Participant Outcomes in June 2017 by 401(k) Specialist magazine and 2017 Top Woman Advisor – All Star by NAPA. She serves the Buffalo community through various affiliations including the Junior League of Buffalo, Leadership Buffalo, Big Brothers Big Sisters of Erie County, Hamburg High School Academy of Finance and Child & Family Services.

WORKING WITH RETIREMENT PLANS SINCE 2011

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JIM PHILLIPS AIF®

President Retirement Resources 100 Corporate Place Peabody, MA 01960

BUSINESS STATISTICS Retirement Plans: 35 Retirement Assets: $950,000,000 Participants: 20,000

Team Name: Phillips/McGinn Retirement Plans: 35 Retirement Assets: $950,000,000 Participants: 20,000

MISSION STATEMENT Helping employees retire with greater financial security, while helping employers manage workload, costs and risk.

BIOGRAPHY Jim worked for large national investment firms before founding Retirement Resources in 1990. He has extensive experience in investments, retirement plans and employee communications. Jim has written for, and has been quoted in, industry publications including PLANSPONSOR magazine, Defined Contribution Insights, 403(b) Advisor, InvestmentNews, NAPA Net the Magazine, MarketWatch. com and PLANADVISER magazine. He has spoken at retirement plan conferences including SPARK, PSNC, ASPPA, PANC and the NAPA 401(k) Summit. Jim was a recipient of the 2015 NAPA 401(k) Leadership Award and currently serves on the NAPA Leadership Council.

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MIKE PIERCE AIF® • C(k)P™ • QPFC

Managing Director Strategic Retirement Partners 11370 Twelve Oaks Way North Palm Beach, FL 33408

BUSINESS STATISTICS Retirement Plans: 25 Retirement Assets: $21,000,000 Participants: 4,800

MISSION STATEMENT We believe that after working for decades during your lifetime, you should be able to retire with dignity and grace. Our sole focus is helping to make that happen.

BIOGRAPHY 180

For over 20 years, Mike has been helping business owners, CFOs, Human Resources and Retirement Plan Committees find cost-effective solutions to their companies’ retirement plan needs. The result of Mike’s work is a retirement plan program that uses tools, processes and structure to ensure that well-informed decision-making by plan fiduciaries produces a high probability of plan and participant success.

Mike served in the United States Army during Operation Desert Storm/ Desert Shield. Today Mike utilizes the discipline and leadership skills learned during his time spent in the military to help his clients manage their retirement plan to a fiduciary standard and provide his clients with the best solutions and service available. A strong believer in giving back to the community, Mike is a past president of the Rotary, having served as president of two clubs during the same year. Mike has served on many boards including the Chamber of Commerce and a local non-profit organization providing shelter to homeless individuals and families.

Mike has also served as a Big Brother with Big Brothers and Big Sisters.

When Mike is not consulting with plan sponsors and educating plan participants, he enjoys golfing, boating and exercising.

WORKING WITH RETIREMENT PLANS SINCE 1996

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PATRICK DELANEY

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STEPHEN POPPER AIF® • QPFC

Managing Director SageView Advisory Group 114 State Street, Suite 501 Boston, MA 02109

BUSINESS STATISTICS Retirement Plans: 15 Retirement Assets: $2,000,000,000 Participants: 12,500

Team Name: SageView Boston Retirement Plans: 130 Retirement Assets: $12,000,000,000 Participants: 125,000

MISSION STATEMENT Very often we are asked what makes SageView unique from its competitors or how our services can better address the needs of our clients. To put it simply, we offer a complete suite of retirement advisory services with three adds you won’t find elsewhere. Our proven proprietary processes. Our insights. And our commitment to translating the mysteries of retirement advisory into plain English you can understand and use.

BIOGRAPHY Stephen is based in SageView’s Boston office. Entrusted with more than $10 billion in participants’ savings, he leads his team in the mission to help plan sponsors and their participants “See where they’re going.”

Stephen is a plan sponsor-focused retirement plan specialist with more than 20 years of industry experience in retirement plan administration, plan design analysis and risk management. A regular speaker at industry conferences and a former board member of the New England Employee Benefits Council, he focuses on educating plan sponsors to help them better recruit, retain and reward their employees through their retirement benefits. Stephen is a graduate of Marist College with a Bachelor’s degree in Business Administration, Finance. On the weekends and on vacation, he heads to the outdoors with his wife Georgia and children Braden and Izzy, to hike, golf, ski and search for sand dollars at the beach.

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STEVEN PUCKETT AIF® • NAPA CPFA™ • CRPS®

VP - Retirement Plans Gateway Retirement Consulting 900 South Avenue West Westfield, NJ 07090

BUSINESS STATISTICS Retirement Plans: 80 Retirement Assets: $950,000,000 Participants: 9,500

MISSION STATEMENT

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We have a simple philosophy: we get the job done for a reasonable fee.

We take the time to listen to our clients. We help our clients develop an effective plan of action that meets their goals and their budget. We help our clients implement their plan and we remain involved to help monitor their progress. We commit ourselves to our clients’ success. We are their fiduciary partner—providing the highest standard of care, investment insight and oversight, plan benchmarking, and thereby increasing the opportunity for improved participant outcomes.

BIOGRAPHY Steve Puckett serves as the Vice President of Retirement Plans for Gateway Retirement Consulting. Steve manages and consults on retirement plans in the areas of investment advisory services, fiduciary services, forensic plan audits, fiduciary risk mitigation solutions, compliance assistance, and fee audits for 403(b) plans, 401(k) plans, 457 plans, Defined Benefit plans, and Non-Qualified Plans. Over the last 29 years, Steve held senior level positions in the retirement plans industry at HANYS Benefit Services, Gallagher Retirement Services, MetLife, Oppenheimer Funds, and Nicholas Applegate Capital Management.

Steve has been named as one of the Top 100 retirement plan advisors in the United States by The Financial Times in 2017, 2018 and 2019.

Steve was named by PlanAdviser as one of the Top 100 Retirement Plan Advisers in 2015 and 2016. Steve was also named one of the Top 300 in the years 2008, 2009, 2010 by Plan Sponsor. Steve has been awarded his Accredited Investment Fiduciary designation (AIF®) from the University of Pittsburgh, the Chartered Retirement Plan Specialist (CRPS®) designation from the College for Financial Planning, and the Certified Plan Fiduciary Advisor (CPFA®) by the National Association of Plan Advisors. Steve received his Bachelor’s Degree (BBA) in Finance from the University of Iowa.

WORKING WITH RETIREMENT PLANS SINCE 1991

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SIMPLE straightforward explanations of complex industry concepts

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PRACTICAL modules are designed to address real-world sales encounters FAST advisors complete the entire series in about 3 hours CONVENIENT designed for advisors on the go ENGAGING interactive online modules entertain while teaching The Indispensable Course

to introduce 401(k) plans to new financial advisors

www.napa-net.org/education/401k-practice-builder

ADVISORS

| NAPA D.C. FLY-IN FORUM 2020

PAMELA RAFFAELE

CPC • QPA

Retirement Manager ML&R Wealth Management 401 Congress Avenue, Suite 1100 Austin, TX 78701

BUSINESS STATISTICS Retirement Plans: 36 Retirement Assets: $237,627,686 Participants: 3,745

MISSION STATEMENT We believe in accountability and transparency, and operate as a feeonly advisor with fees calculated solely on assets under management.

Our approach to investment management focuses on achieving diversification, controlling costs and managing appropriate levels of risk with an evidence-based investment philosophy. This philosophy is rooted in academic research with a disciplined approach to long-term investing.

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BIOGRAPHY

Pamela Raffaele specializes in retirement plan services for ML&R Wealth Management. Her emphasis is on plan design and keeping plans in compliance with IRS and DOL regulations. Pam joined our team in November of 2006. She graduated from SUNY at Oneonta with a Bachelor of Science degree in mathematics in 1989. Pam made her entry into the retirement field at a small firm in New York called Pension Paperwork, Inc. She relocated to Connecticut in 1991 to work for another firm and helped create a daily valuation service for the firm’s clients. Pam then worked for Plan Data/Invesmart for 10 years in the Austin area, managing an administration team including client consultants, administrators and support staff prior to joining ML&R Wealth Management. Pam is a Certified Pension Consultant, a designation earned through the American Society of Pension Professionals and Actuaries. She is also a qualified Investment Advisor Representative. Pam has been an active volunteer in Mobile Loaves and Fishes as well as the Round Rock Independent School District for many years.

WORKING WITH RETIREMENT PLANS SINCE 1989

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JON RANDALL Vice President/Investments Stifel 28411 Northwestern Highway, Suite 1000 Southfield, MI 48034

BUSINESS STATISTICS Retirement Plans: 27 Retirement Assets: $100,000,000 Participants: 2,500

MISSION STATEMENT Our mission is to create a collaborative team structure that delivers valuable, insightful, and impactful investment and retirement income strategies within our community and amongst their clients and peers.

With a focus on planning, value, and open communication, we believe that your wealth management plan should be as unique as your current and future financial situation, goals, and needs. Our expertise in corporate retirement plans and executive retirement strategies help position our clients with the tools to help their employees retire with dignity, and the owners and key employees to thrive through comprehensive planning. To do this, we couple our experience with Stifel’s robust resources to help clients pursue their short- and long-term goals.

BIOGRAPHY Jon began his investment industry career in 2005 and joined Stifel in 2018. Prior to Stifel, he worked for Morgan Stanley and Citigroup Securities. He earned a B.S. in finance from Western Michigan University-Haworth College of Business and holds Series 7, 63 and 66 securities licenses, as well as life, health and variable insurance licenses (including annuities). Jon specializes in helping company retirement plans analyze their plan and select appropriate vendors from nonproprietary options. Through a detailed consultative process, he strives to help growing organizations save time, reduce costs and increase efficiencies. Passionate about community education, Jon serves on the president’s leadership council development board with Detroit Cristo Ray School and on the alumni association with Brother Rice High School. He is also a board member of the City of Royal Oak Historical Commission and a member of the Detroit Athletic Club.

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MARK RATAY

CIMA® • PRP®

Corporate Retirement Director Morgan Stanley 4225 Naperville Road, Suite 255 Lisle, IL 60532

BUSINESS STATISTICS Retirement Plans: 50 Retirement Assets: $1,200,000,000 Participants: 6,500

Team Name: The Ratay Group at Morgan Stanely Retirement Plans: 50 Retirement Assets: $1,200,000,000 Participants: 6,500

MISSION STATEMENT Bring confidence and comfort to Plan Sponsors and their participants.

Our Commitment: Bring comfort to you as a plan sponsor by helping you as a fiduciary and keeping your responsibilities to a minimum. Getting the most out of your savings by helping you maximize investment returns and downside protection through Morgan Stanley’s vast resources.

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BIOGRAPHY Mark graduated from Northern Illinois University with a major in Finance and a minor in Economics. Mark was inducted into Phi Theta Kappa and Beta Gamma Sigma, the highest honor in the nation concerning business. He has over 30 years of financial services experience and has been with Morgan Stanley since 1990 and started working in the retirement plan field. He has also earned the designation of Certified Investment Management AnalystSM (CIMA®) from the Wharton Business School, as well as his certification as a PLANSPONSOR Retirement Professional™ (PRP™) from PLANSPONSOR magazine.

WORKING WITH RETIREMENT PLANS SINCE 1990

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TROY REDSTONE AIF® • NAPA CPFATM

Chief Behavioral Coach PHD. Retirement Consulting 7500 College Blvd., Suite 500 Overland Park, KS 66210

BUSINESS STATISTICS Retirement Plans: 47 Retirement Assets: $267,000,000 Participants: 4,350

Team Name: PHD. Retirement Consulting Retirement Plans: 47 Retirement Assets: $267,000,000 Participants: 4,350

MISSION STATEMENT Healthy plans should naturally produce healthy outcomes. Plan Health Design (PHD) is about building employer-sponsored retirement plans that focus on financial wellness, participant outcomes, and increasing the Value of the Investment (VOI) for the employer.

BIOGRAPHY Troy is an independent retirement consultant, public speaker, published author, and behavioral finance expert. He works with employersponsored retirement plans and financial wellness programs. He is a Certified Plan Fiduciary Advisor (NAPA CPFA®), a Certified Behavioral Finance Analyst (CBFA®), a Certified Financial Education Instructor (CFEI®), and an Accredited Investment Fiduciary (AIF®). As the founder of PHD. Retirement Consulting, he serves ERISA retirement plans of all sizes. His clients have included several Fortune 500 companies as well as a few Fortune 100 companies. He is a member of the Retirement Advisor Council, recognized as a leader in the retirement plan industry, currently serving as Chair based upon an election of his peers; Chairman of the Board for the Employee Benefits Institute; a thought leader in retirement according to the 401kWire; and a 20-year veteran of keynote speaking at conferences and seminars throughout the industry. Troy has published articles in a variety of magazines and newspapers and his book Repurposement will be released this year. His educational background includes the University of Alabama (Behavioral Psychology), Anderson University (Masters) and Rockhurst University (Finance). He lives in Kansas City with his bride of 22 years, two teenagers and an Aussiedoodle.

WORKING WITH RETIREMENT PLANS SINCE 2003

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MERCEDES GIVENS

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JULIE REINHARDT CPC • QPA

Retirement Plan Advisor ML&R Wealth Management 401 Congress Avenue, Suite 1100 Austin, TX 78701

BUSINESS STATISTICS Retirement Plans: 36 Retirement Assets: $237,627,686 Participants: 3,745

Team Name: ML&R Wealth Management Retirement Department Retirement Plans: 36 Retirement Assets: $237,627,686 Participants: 3,745

MISSION STATEMENT

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We believe in accountability and transparency, and operate as a feeonly advisor with fees calculated solely on assets under management.

Our approach to investment management focuses on achieving diversification, controlling costs and managing appropriate levels of risk with an evidence-based investment philosophy. This philosophy is rooted in academic research with a disciplined approach to long-term investing.

BIOGRAPHY

Julie Reinhardt specializes in retirement plan services for ML&R Wealth Management. Her emphasis is on keeping plan sponsors in compliance with IRS and DOL regulations. Julie joined our team in September 2007. She graduated from The University of Texas at Austin with a Bachelor of Arts in 1994. Julie began her career in Austin at Plan Data, Inc., administering qualified plans, consulting, and managing a team of administrators. Julie is a Certified Pension Consultant a designation earned through the American Society of Pension Professionals and Actuaries and a member of the National Association of Plan Advisors.

She is also a qualified Investment Advisor Representative. At ML&R Wealth Management, we encourage our team to be active in the community and give their time to local organizations and foundations.

Julie is no exception. She has been an active volunteer in the Leander Independent School District for many years as well as in community organizations in the Central Texas Area.

WORKING WITH RETIREMENT PLANS SINCE 1997

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DAVID REINIGER AIF® • CFP®

President Reiniger & Associates 1001 Eastwind Dr., Suite 202 Westerville, OH 43081

BUSINESS STATISTICS Retirement Plans: 45 Retirement Assets: $250,000,000 Participants: 3,500

MISSION STATEMENT To provide the premier service to the retirement landscape

BIOGRAPHY David started his career in 1984 after graduating from Miami University and obtained his CLU, ChFC, CFP and AIF designations. He joined LPL Financial as an independent financial advisor in 2000 and runs his own financial services firm as a sole member.

WORKING WITH RETIREMENT PLANS SINCE 1984

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PETER RESSLER AIF® • C(k)P™

Managing Director-Investments Wells Fargo Advisors 555 E. Lancaster Ave, 4th Floor Radnor, PA 19087

BUSINESS STATISTICS Retirement Plans: 20 Retirement Assets: $450,000,000 Participants: 2,200

MISSION STATEMENT We provide retirement plan solutions that are independent, objective and unbiased, ever mindful of fees and expenses, assisting plan participants in meeting their retirement goals with unparalleled service is our strategic commitment.

BIOGRAPHY 190

Pete Ressler has focused on assisting business owners, investment committees and plan fiduciaries in the evaluation, development, implementation and management of retiremment plan rograms. Pete’s industry experience resulted in his acceptance into the Wells Fargo Advisors Retirement Plan Advisor Program as an Institutional Plan Fiduciary Consultant. Peter is going on his 14th year at Wells Fargo Advisors and 17th year in the financial services industry. He is an Accredited Investment Fiduciary (AIF) and Certified 401(k) Professional (C(k)P).

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Become a NAPA Certified Plan Fiduciary Advisor The designation for the leading 401(k) advisor

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Don’t just claim to be a retirement plan expert: prove it!

Special rules apply to 401(k) fiduciaries and NAPA’s Certified Plan Fiduciary Advisor credential program gives you the tools to be a 401(k) specialist. Developed by some of the nation’s leading advisors and retirement plan experts, the CPFA demonstrates your knowledge, expertise and commitment to working with retirement plans.

QUALIFIES FOR CFP CREDIT For more information on the CPFA designation and study material visit www.napacpfa.org.

ADVISORS

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JIM SAMPSON AIF® • NAPA CPFA™ • C(k)P™

Director, Retirement Advisory Services Hilb Group Retirement Services 931 Jefferson Blvd., Suite 3001 Warwick, RI 02886

BUSINESS STATISTICS Retirement Plans: 140 Retirement Assets: $330,000,000 Participants: 6,000

Team Name: Hilb Group Retirement Services Retirement Plans: 152 Retirement Assets: $345,000,000 Participants: 7,000

MISSION STATEMENT At Hilb Group Retirement Services, we work with employers to assist them in building a robust, quality savings program for their employees, providing education and fiduciary support, as well as work with those employees to help them get the most out of the program, helping them with their goal of retiring on time, with enough money.

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BIOGRAPHY Jim Sampson is the Director, Retirement Advisory Services, of Hilb Group Retirement Services and has served the retirement plan industry for more than 20 years. Jim is the co-author of the book, “Save Like A Champion Today, A Winning Game Plan for Retirement,” which aims to teach companies winning strategies for managing their corporate retirement plans. Jim has received numerous industry awards and recognitions, including PLANSPONSOR’s Retirement Plan Adviser of the Year Finalist (2008, 2012), PLANADVISER Top 100 Advisers (2012-2020), The 401kWire’s Top Advisor Award (2010, 2011) and leads The Hilb Group’s retirement team that has been named a NAPA Top DC Advisor Team in 2018 and 2019. Jim has appeared on the FOX25 Morning News in Boston, has been quoted on retirement plan issues in The Boston Globe, Providence Business News, PLANSPONSOR Magazine, PLANADVISER Magazine, WSJonline.com and Employee Benefit Advisor Magazine, and has been a speaker or panelist at a number of industry conferences. Jim has earned the Accredited Investment Fiduciary™, Certified 401(k) Professional® and Certified Plan Fiduciary Advisor designations and earned a B.S. in sport management from the University of Massachusetts, Amherst.

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DANELLE SAUCIER NAPA CPFA™ • NQPA • QPA

Manager, 401(k) Sequoia Consulting Group 1850 Gateway Dr., Suite 700 San Mateo, CA 94404

BUSINESS STATISTICS Retirement Plans: 35 Retirement Assets: $125,000,000 Participants: 4,500

MISSION STATEMENT We believe modern businesses deserve a different approach, a fresh perspective on what it means to deliver a truly great employee experience. That’s why Sequoia’s offering is an innovative blend of guidance, service, and technology designed to be a catalyst to your business. We find out where you want to go, and how you want to get there, and then apply our experience and partnerships to deliver new options to solve both traditional and modern day business issues.

BIOGRAPHY Danelle has been with Sequoia Consulting Group since 2013. She came into the retirement advisory industry from a DC/DB compliance and administration background as a TPA pension administrator. After 6 years with the TPA team, she took that foundation to join Sequoia and work hand-in-hand with Silicon Valley clients to design, implement, and manage retirement programs. At Sequoia, she is supported by a team of retirement consultants, service advisors, group benefits managers, and products specialists whose teamwork and professionalism help build long-term relationships with an ever-growing client base and provide excellent participant engagement and service for the top echelon of the Silicon Valley. Danelle has a life-long passion for learning and applying that knowledge to improve fiduciaries’ understanding of how their programs impact participant empowerment. She believes early and innovative education methods are critical to empower people to manage their financial planning and benefits effectively. Away from business, she enjoys working with her family on their suburban farm that houses a menage of animals, including goats, pigs, and chickens.

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E M E R G I N G

A D V I S O R

IAN LUND

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TINA SCHACKMAN Sr. Retirement Plan Consultant Benefit Financial Services Group 2040 Main St. #720 Irvine, CA 92614

P TO PA S NAOMEN OR 9

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BUSINESS STATISTICS Retirement Plans: 15 Retirement Assets: $3,700,000,000 Participants: 50,000

Team Name: BFSG Retirement Plans: 83 Retirement Assets: $12,000,000,000 Participants: 200,000

MISSION STATEMENT As fiduciaries we strive to provide full transparency to our clients and always place their interests first. Benefit Financial Services Group, through its Institutional Services and Wealth Management divisions, is committed to providing the highest quality, state-of-the-art corporate retirement plan consulting and individual wealth management services to our clients.

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BIOGRAPHY Tina re-joined Benefit Financial Services Group in 2019 after spending seven years with Prudential Retirement on their Consultant Relations Team covering the Western U.S. Tina was originally with BFSG from 2004 to 2011 and primarily served as an Investment Consultant to a number of corporate and public clients. Tina currently serves as a Principal and Senior Retirement Plan Consultant responsible for driving the firm forward with her leadership and industry knowledge.

Her expansive background in the retirement industry allows Tina to contribute to the firm’s overall vision and best practices. Tina received her bachelor’s degree in business administration with a concentration in finance from the California State University, Fullerton, in 1994. In 2003, she graduated from the Keller Graduate School of Management with a master’s degree in accounting and financial management. In 2006, Tina earned the right to use the Chartered Financial Analyst® designation.

She is an Investment Advisor Representative of BFSG, LLC. Tina volunteers with the CFA Society Orange County and has served on the Board since 2008. She is also the co-chair of the Women in Pensions Network Southern California Chapter.

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SCOTT SCHECHINGER AIF®

Financial Advisor Wells Fargo Advisors 4030 W. Boy Scout Blvd., Ste 150 Tampa, FL 33625

BUSINESS STATISTICS Retirement Plans: 52 Retirement Assets: $450,000,000 Participants: 3,500

MISSION STATEMENT Our mission is to help our clients improve their retirement.

BIOGRAPHY Scott has more than 11 years of experience in the investment industry and has spent the last 8 years specializing in retirement plan consulting services to businesses, non-profit organizations and institutions. He holds a BS degree in Finance from the University of South Florida and has attained the designation of Accredited Investment Fiduciary (AIF).

Scott lives in Tampa with his wife Andrea and their son Alexander.

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RENEE SCHERZER AIF® • NAPA CPFA™

Principal 401K Resources 4835 E. Cactus Rd., Suite 425 Scottsdale, AZ 85255

BUSINESS STATISTICS Retirement Plans: 30 Retirement Assets: $300,000,000 Participants: 9,800

MISSION STATEMENT The mission of 401K Resources is to provide clients with strategies to empower their employees to build financial independence while managing the fiduciary liability of organizations and their executives.

BIOGRAPHY 196

Renee K. Scherzer is a Principal of 401K Resources, a firm focused on employer sponsored plans and participant outcomes. Ms. Scherzer began her career at Dean Witter Reynolds in 1989, where she worked closely with mentors that valued the future of the retirement industry.

Through these relationships Ms. Scherzer gained experience working with different aspects of the financial services industry including stock trading, investments and managing assets. In 1999, Ms. Scherzer chose 401(k) plans to be her focus and left the wire house environment to start her own firm. Renee has a bachelor’s degree in finance from Arizona State University. She is an Investment Advisor Representative, Certified Plan Fiduciary Advisor and holds the designation of Accredited Investment Fiduciary® (AIF®). Renee holds the Series 63 and 65 Securities Registrations through Resources Investment Advisors as well as various insurance licenses and was FINRA licensed for over 20 years.

Charity is an important part of Renee and her family’s lives. They are active in various organizations impacting the homeless, children in crisis, animal rescue and other important causes. Renee lives in Scottsdale with her husband, three kids and two rescue dogs.

WORKING WITH RETIREMENT PLANS SINCE 1995

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JOSHUA SCHWARTZ AIF®

President Retirement Plan Advisors 105 W. Adams Street, Suite 2175 Chicago, IL 60603

BUSINESS STATISTICS Retirement Plans: 22 Retirement Assets: $750,000,000 Participants: 22,000

MISSION STATEMENT Retirement Plan Advisors specializes in retirement planning for the hardworking people who make our communities work. As an Independent Registered Investment Adviser, we provide plan design, onsite employee education and investment advisory services to public sector retirement plans. We stand with you as a fiduciary on your plan, providing even the smallest communities with the same high-quality retirement plans and advice found on Wall Street. And our level of personal service to you and your employees is unheard of in the industry.

BIOGRAPHY Josh is a founding Principal and President of Retirement Plan Advisors and serves on the firm’s Investment Committee. He is responsible for design of the firm’s 457, 401(a), 403(b), and retirement healthcare funding plan services and offerings. Josh began a long history of serving public sector employees and their families after graduating from the University of Chicago in 1987. He held a number of roles, including Managing Director. He has extensive experience monitoring and overseeing the management of field representatives, office personnel, and internal back-office operations. He also oversaw RFP processes, plan design, investment menu selection, and compliance issues. In 2000, Josh co-founded RPA with the goal of offering public sector employers and their employees the option of working with an RIA to better address their retirement benefit needs.

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STEVEN SCOTT AIF® • QPFC

CEO Retirement Solution Group & RSG Advisory LLC 25 Market Street, Unit 2B Portsmouth, NH 03801

BUSINESS STATISTICS Retirement Plans: 152 Retirement Assets: $767,000,000 Participants: 9,751

MISSION STATEMENT At RSG, we focus exclusively on the qualified retirement plan industry and are committed to providing fully customized, intelligent retirement solutions to our clients. We embrace challenges, delivering efficient, trustworthy service that supports increased retirement savings.

BIOGRAPHY 198

As the founder of RSG, Steve has built the firm’s culture to represent the idea behind the firm. People matter, what we do matters, and only do what you are good at. Steve has 25 years of experience in the qualified plan arena and has worked for large vendors such as State Street Global Advisors, Manulife Financial and John Hancock. Steve brings a consultative and holistic approach to the company and his clients.

This company is built around the service model Steve observed when working the Fortune 500 space for firms like Boeing, Chevron, 3Com, and many others. He has a B.S.S.P. and M.A. from Emerson College in Boston and spends his free time traveling with his wife, Christie, and his children, Mya and Sammy.

WORKING WITH RETIREMENT PLANS SINCE 1995

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PHIL SENDEROWITZ CFPÂŽ

Managing Director Strategic Retirement Partners 874 Brightwater Circle Maitland, FL 32751

BUSINESS STATISTICS Retirement Plans: 35 Retirement Assets: $350,000,000 Participants: 15,000

MISSION STATEMENT Strategic Retirement Partners is an independent total retirement consulting firm working with plan sponsors, participants, and advisors to create and maintain world class solutions for our clients. We exist for people, organizations, and advisors to fulfill their potential, maintain best practices, invest in their future well-being, and protect that future. Our core values are innovation, collaboration, and partnership.

BIOGRAPHY As a Managing Director for Strategic Retirement Partners, Phil is responsible for servicing clients, as well as growing the firm’s practice in the Central Florida market. He is a specialist in investment due diligence processes, fiduciary best practices, and provider benchmarking. Phil also provides extensive experience in delivering customized employee education services to help promote more positive retirement outcomes.

With more than two decades of industry experience, Phillip has served as Chief Investment Officer for Chepenik Financial and also as a Private Financial Advisor at SunTrust Bank. Phillip is a Chartered Financial Analyst (CFA) and a Certified Financial Planner (TM) professional. He is a regular speaker at industry conferences, actively serves on the board of several community organizations, and is a trustee of the City of Maitland Police & Fire Pension Fund.

Phillip lives in Orlando, FL with his wife and two sons. He is an avid runner and has completed three marathons. He also enjoys reading and spending family vacations skiing.

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ANN-MARIE SEPUKA AIF® • CRPS®

Managing Director Strategic Retirement Partners 801 FM 1463, 200-233 Katy, TX 77494

BUSINESS STATISTICS Retirement Plans: 12 Retirement Assets:$185,000,000 Participants: 3,400

MISSION STATEMENT We believe that working decades during your lifetime, you should be able to retire with dignity and grace. Our sole focus is making that happen.

SRP--Relax, we’ll take it from here.

BIOGRAPHY 200

Ann-Marie Sepuka, AIF, CRPS, Managing Director- Working with Employers to offer Smart, Holistic Retirement Plans while Helping Employees retire on Their Terms. I’ve worked over two decades, offering consulting services thru Raymond James and mostly recently SRP. I’m an employee and small business advocate who wakes up every morning knowing that I can make an impact on the employees and employers I serve.

WORKING WITH RETIREMENT PLANS SINCE 2000

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BRENT SHEPPARD

AIF® • CRPS®

Partner, Financial Advisor

ACES

2020

NAPA’S TOP PLAN ADVISORS UNDER 40

Cadence Financial Management 10 Lake Center Executive Park 401 Route 73 North, Suite 201 Marlton, NJ 08053

BUSINESS STATISTICS Retirement Plans: 64 Retirement Assets: $197,774,707 Participants: 6,143

MISSION STATEMENT We partner with plan sponsors who understand the importance of helping their employees reach a dignified retirement, but struggle with the complexities of plan operation and employee engagement.

Our experienced professionals bring strategies, tactics, and services designed to create successful retirement outcomes for employees. Our independence enables us to take a custom and collaborative approach to deliver unbiased advice while making it all easy to understand and simple for plan sponsors.

BIOGRAPHY Brent has been in the financial services industry and focused on corporate retirement plans since 2007. At Cadence Financial Management he works with plan sponsors of qualified and nonqualified plans, to help design and manage a successful benefit for their organization and employees. Brent holds the Accredited Investment Fiduciary®, Chartered Retirement Plans Specialist®, Retirement Income Certified Professional®, and is a member of the National Association of Plan Advisors. He received his Bachelor of Science in Finance from the University of Delaware and holds his 7, 63, and 66 securities licenses.

Brent resides in Philadelphia, with his main office in Marlton, NJ.

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ADVISORS

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COURTENAY SHIPLEY AIF® • CRPS®

Chief Planologist Retirement Planology, Inc. 950 N. Washington Street, Suite 242 Alexandria, VA 22314

P TO PA S NAOMEN OR 9

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BUSINESS STATISTICS Retirement Plans: 39 Retirement Assets: $230,000,000 Participants: 3,200

MISSION STATEMENT Retirement Planology exists to ease the employer’s burden in offering a meaningful, quality retirement plan; and to guide employees to make wise decisions so that they may have the luxury of deciding how they spend their time later in life.

BIOGRAPHY 202

Courtenay is a seasoned financial services executive in the DC and retirement services marketplace who has served on all sides of the table with retirement plans. She is President of Retirement Planology, Inc., an investment advisory and retirement plan consulting firm. Formerly she was a Principal with Fiducia Group, LLC, and founded Shipley Capital Advisory to advise businesses and individuals on best-fit retirement plan solutions that are administratively efficient, cost effective and mindful of fiduciary responsibility. Prior to that, she ran a small record keeping TPA, worked at Principal Financial Group as a Senior Employee Benefits Specialist, worked with a brokerage team at Wachovia Securities (formerly Prudential Securities) specializing in corporate retirement plans, and worked as an insurance agent in the 403(b) marketplace.

WORKING WITH RETIREMENT PLANS SINCE 2001

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JORDAN SIBLER NAPA CPFA™ • NQPA

Vice President - Financial Advisor Janney Montgomery Scott 6700 Tower Circle, Suite 200 Franklin, TN 37067

ACES

2020

NAPA’S TOP PLAN ADVISORS UNDER 40

BUSINESS STATISTICS Retirement Plans: 26 Retirement Assets: $2,400,000 Participants: 80,000

Team Name: Tower Circle Partners Retirement Plans: 26 Retirement Assets: $2,400,000 Participants: 80,000

MISSION STATEMENT To ensure a successful plan experience for everyone.

BIOGRAPHY Jordan works with individual and institutional clients, including defined contribution plans, defined benefit plans, endowments, and foundations.

Jordan began his career in 2005 with Wachovia Securities, where he earned the firm’s Recognition of Excellence Award for his outstanding client service in working with over 50 institutional retirement plans, providing detailed vendor analysis, benchmarking and performance reporting.

He received his BS degree in human Organizational Development from Vanderbilt University in 2005.

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ADVISORS

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HEIDI SIDLEY AIFÂŽ

Managing Director StoneStreet Equity, LLC 1133 Westchester Avenue, S-221 White Plains, NY 10604

P TO PA S NAOMEN OR 9

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BUSINESS STATISTICS Retirement Plans: 40 Retirement Assets: $2,000,000,000 Participants: 575,000

Team Name: StoneStreet Equity, LLC Retirement Plans: 40 Retirement Assets: $2,000,000,000 Participants: 575,000

MISSION STATEMENT We strive to be a trusted, respected advisor to plan sponsors, focusing on successful participant outcomes and enabling plan committees to understand all aspects of their duties.

BIOGRAPHY 204

With more than 23 years in the financial services industry, Heidi has managed businesses providing domestic plan design education, administration and actuarial services as well as global equity plan consulting. Prior to joining StoneStreet Equity, Heidi managed a plan design and administration firm in Westchester, NY. She also worked in France for Shearman & Sterling, where she helped to build a successful global equity plan practice. Her prior experience includes industry players such as Towers Perrin, KPMG and the Retirement Services Division of the Bank of New York. Heidi studied actuarial science in the graduate program at Georgia State University and applied mathematics and statistics at SUNY Stony Brook.

WORKING WITH RETIREMENT PLANS SINCE 1990

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COURTNEY SINDELAR NAPA CPFA™

Senior Plan Advisor Fiduciary Plan Advisor 921 East Fort Avenue, Suite 230 Baltimore, MD 21230

P TO PA S NAOMEN OR 9

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BUSINESS STATISTICS Retirement Plans: 39 Retirement Assets: $525,000,000 Participants: 15,000

Team Name: Fiduciary Plan Advisors Retirement Plans: 102 Retirement Assets: $4,300,000,000 Participants: N/A

BIOGRAPHY Courtney serves as Senior Plan Advisor with Fiduciary Plan Advisors at HighTower. In this role, she provides plan consultation and investment advisory services to her clients. Her goal is to ensure each client maintains a strong retirement program that empowers their employees to retire on time and with an adequate retirement benefit. With over 15 years of experience in the industry, Courtney has been able to work on both the recordkeeper and the advisor side of the industry. She is able to find the right solution for her clients and act as a liaison between plans sponsors and their providers. Courtney was named one of Top Women Advisors for 2019 and one of the Top 100 Retirement Plan Advisors for 2020. Courtney holds her FINRA Series 7 and Series 66 as well as her Life and Health License.

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KACI SKIDGEL

AIF® • C(k)P™ • QPFC

President, Retirement Plans Summit Financial Group, Inc. 1350 S. Boulder Ave, Third floor Tulsa, OK 74119

P TO PA S NAOMEN OR 9

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BUSINESS STATISTICS Retirement Plans: 98 Retirement Assets: $398,000,000 Participants: 9,600

MISSION STATEMENT At Summit, we design and strategically implement professional benefits, insurance and investment solutions that help secure a healthy financial future for our clients.

BIOGRAPHY 206

During a career spanning more than a decade, Kaci Skidgel has guided clients through complex financial and regulatory environments. She serves as President of the Investments Division for Summit Financial Group, Inc.; her counsel informs the firm’s retirement planning and individual wealth management. Author of, “Path to The Summit: Strategies to Reach Your Company’s Peak Retirement,” Kaci is a soughtafter speaker on topics including pension and retirement. She is an FEDC trainer and has consulted with the Society for Human Resources Management, Association of Legal Administrators, and the Government Accountability Office. Kaci holds numerous designations and licenses for investment securities. She is a Qualified Plan Financial Consultant (QPFC), Accredited Investment Fiduciary (AIF®), and Certified 401(k) Professional (C(k)P). As a member of the National Association of Plan Advisors, Kaci was recognized as one of the Top Women Advisors for five consecutive years and as one of Financial Times Top Advisors in 2018, and she currently serves as the Chair for the Retirement Plan Advisory Council of Cetera. Kaci is a board member of the Young President’s Organization, Goodwill Industries, and Balcony Women. Most importantly, she is a dedicated wife and a mother to four children.

WORKING WITH RETIREMENT PLANS SINCE 2007

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PEGGY SLAUGHTER AIF® • NAPA CPFA™ • CRPS® • CFP®

Retirement Plan Consultant Saling Simms Associates 7965 North High St., Suite 130 Columbus, OH 43235

P TO PA S NAOMEN OR 9

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BUSINESS STATISTICS Retirement Plans: 60 Retirement Assets: $125,000,000 Participants: 2,500

Team Name: Plan Sponsor Consultants Retirement Plans: 164 Retirement Assets: $2,000,000,000 Participants: 43,500

MISSION STATEMENT I advise retirement plan sponsors on how to design, optimize and maintain their organization’s plan, including investment selection and monitoring, participant education, vendor RFPs and selection and ongoing oversight. I provide excellent service to my clients by being accessible to plan sponsors, servicing teams and participants.

BIOGRAPHY Peggy started in retirement plan services as a TPA with a local insurance company. Over a period of 25 years, her focus shifted from administration to consulting and advisory services. She is primarily a fee-based advisor.

WORKING WITH RETIREMENT PLANS SINCE 1991

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ADVISORS

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TOM SMALL AIF® • NAPA CPFA™

Investment Portfolio Associate The Mahoney Group of Raymond James 1 Crosfield Ave, Suite 102 West Nyack, NY 10994

ACES

2020

NAPA’S TOP PLAN ADVISORS UNDER 40

BUSINESS STATISTICS Retirement Plans: 31 Retirement Assets: $750,000,000 Participants: 10,000

Team Name: The Mahoney Group of Raymond James Retirement Plans: 62 Retirement Assets: $1,500,000,000 Participants: 20,000

MISSION STATEMENT To help plan sponsors meet their fiduciary responsibilities while offering their employees a retirement plan that will help them make meaningful progress towards their financial goals.

BIOGRAPHY 208

Tom supports The Mahoney Group of Raymond James’ institutional business focusing on the defined contribution and defined benefit spaces. He helps to ensure that plan sponsors fulfill their fiduciary responsibilities under ERISA. Tom spearheads the team’s investment analyses, Investment Policy Statement development, fee and value benchmarking, and workplace wellness strategies. He strives to ensure that plan participants are ready for retirement, equipped with the necessary tools to make informed decisions on their retirement and other important financial issues. Tom holds the CPFA® and AIF® designations.

He graduated cum laude with a bachelor’s degree in accounting from the State University of New York at Oswego. Tom is a member of Raymond James’ Retirement Plan Advisory Council (RPAC), a dedicated group of advisors nationwide that have made retirement plan consulting their primary focus and which accounts for less than 1% of all Raymond James advisors. He also belongs to Beta Alpha Psi, an accounting, finance and information systems international honor society. Tom is very proud of being named to NAPA’s 2019 Young Guns List.

WORKING WITH RETIREMENT PLANS SINCE 2013

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ERIC SMITH AIF® • CRPS®

VP - Corporate Retirement Director Morgan Stanley 300 Linden Oaks Rochester, NY 14625

BUSINESS STATISTICS Retirement Plans: 45 Retirement Assets: $510,000,000 Participants: 6,800

Team Name: The EWS Group at Morgan Stanley Retirement Plans: 45 Retirement Assets: $510,000,000 Participants: 6,800

MISSION STATEMENT To continually provide our corporate clients and their employees with the highest level of fiduciary governance, an employee educational program and service level that far exceed their expectations. More importantly, that their employees are provided with the greatest opportunity to achieve their dream of a financially successful retirement.

BIOGRAPHY Eric Smith, lead consultant for The EWS Group at Morgan Stanley, is a Financial Advisor and fully licensed investment professional with 20 years of experience in corporate retirement plan consulting. Eric holds the title of Corporate Retirement Director at Morgan Stanley based on his commitment and dedication to helping plan sponsors navigate the complexities of offering retirement plan programs to their employees.

He also holds the designation of Chartered Retirement Plan Specialist (CRPS®) and Accredited Investment Fiduciary (AIF). Eric serves on several corporate retirement plan industry committees that collaborate and discuss specific governmental and retirement plan industry issues that can affect plan sponsors. In 2013, he was recognized

by PLANADVISOR magazine as one of the Top 100 Retirement Plan Advisers in the industry, and in 2015, 2016, 2018 and 2019, Eric was recognized by Financial Times as a Top 401 Retirement Plan Advisor.

In 2017, 2018 and 2019, The EWS Group at Morgan Stanley was also recognized as one of Top 100 DC Advisory Teams by the National Association of Plan Advisors (NAPA). Eric earned his Bachelor of Science degree from Cortland State University and his Master of Business Administration degree from Rochester Institute of Technology.

WORKING WITH RETIREMENT PLANS SINCE 2000

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ADVISORS

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MICHAEL SMITH

AIF® • AIFA® • NAPA CPFA™ • CRPS® • C(k)P™ • NQPA

Managing Partner Insight Financial Partners, LLC 454 W. Virginia Street, Suite 3 Crystal Lake, IL 60014

BUSINESS STATISTICS Retirement Plans: 36 Retirement Assets: $392,218,113 Participants: 19,217

Team Name: Insight Financial Partners, LLC Retirement Plans: 94 Retirement Assets: $612,132,553 Participants: 27,902

MISSION STATEMENT Insight Financial Partners, LLC, collaborates with employer plan sponsors in an independent and objective manner, passionately dedicated to working Americans we fundamentally believe deserve to achieve financial wellness and independence, enabling them to retire on their own terms with dignity.

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BIOGRAPHY Mike is the Founder and Managing Partner of Insight Financial Partners, LLC, an independent Registered Investment Advisory firm. He has over 28 years of experience in the Employer Sponsored Retirement Plan and Financial Services industry. Mike was named to the 2019 edition of the Financial Times 401 Top Retirement Advisers, and Insight Financial Partners, LLC, was recognized by NAPA in both 2018 and 2019 as one of the top defined contribution plan serving advisory firms in the U.S. Insight Financial Partners, LLC, is certified by the Center for Fiduciary Excellence (CEFEX) for the firm’s strict adherence to the prudent practices of the Global Fiduciary Standards of Excellence. Mike holds a number of industry designations, including the Accredited Investment Fiduciary Analyst (AIFA), Certified 401(k) Professional (C(k)P), Certified Plan Fiduciary Advisor (CPFA), and Chartered Retirement Plan Specialist (CRPS). He is an elected public official, currently serving as Chairman of the Board of Trustees of McHenry County College in Crystal Lake, Illinois. Mike received his MBA from DePaul University in Chicago, and holds multiple securities industry registrations including the Series 7, Series 9/10, Series 24 and Series 66 licenses. He and his wife, Erin, have four adult children and three grandchildren.

WORKING WITH RETIREMENT PLANS SINCE 1989

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WILLIAM SNOKE NAPA CPFA™ • C(k)P™

Advisor Greenberg, Wexler & Eig 4600 East West Hwy, Suite 875 Bethesda, MD 20814

BUSINESS STATISTICS Retirement Plans: 28 Retirement Assets: $150,000,000 Participants: 3,800

MISSION STATEMENT We provide custom plan design to firms in order to help groups achieve the maximum benefit from their retirement savings. We believe that consistent and meaningful interacting with our clients produces superior results.

BIOGRAPHY Bill is a C(k)P® Certified 401(k) Professional in good standing with The Retirement Advisor University in collaboration with UCLA Anderson School of Management Executive Education. He has a diverse sales background, including 18 years of experience in the retirement and investment industry working with qualified plans and an additional 10 years of sales experience in the consumer products world. Bill received a BA in Economics from the University of Colorado in 1986. He then worked extensively with individual clients on managing their retirement and other investments. This all has greatly assisted him in having a more in-depth knowledge and understanding of the qualified retirement industry. Bill joined Greenberg, Wexler and Eig, LLC in the summer of 2009 as the Director of Qualified Retirement Plans. He lives in Bethesda, MD and enjoys biking, hiking, and surfing.

WORKING WITH RETIREMENT PLANS SINCE 1999

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ELAINE SPECHT QPA

V.P. Client Relations Plexus Financial Services 5310 Harvest Hill Rd., Suite 100 Dallas, TX 75230

BUSINESS STATISTICS Retirement Plans: 26 Retirement Assets: $747,000,000 Participants: 11,500

Team Name: Plexus Financial Services Retirement Plans: 106 Retirement Assets: $1,374,142,164 Participants: 50,000

MISSION STATEMENT We guide retirement plan sponsors and promote financial wellness for plan participants.

BIOGRAPHY 212

Elaine has nearly three decades of experience in the retirement plan industry with a background in plan design, compliance and plan administration. Prior to joining Plexus, she was Sr. Client Executive for Transamerica Retirement Solutions and managed over $500 million in qualified plan assets. She partnered with plan sponsors, trustees and fiduciaries to help them meet their objectives, including implementing an ongoing educational program to promote retirement readiness for employees. Elaine joined Plexus in 2017 and is a registered investment advisor representative. She partners with fiduciaries and investment committees to help them meet their fiduciary responsibilities, performs investment reviews and fund monitoring, and provides technical guidance for the ongoing operation of their retirement plans. Elaine holds a number of industry designations, including Qualified Pension Administrator (QPA), Qualified 401(k) Administrator (QKA) and Accredited Retirement Plan Consultant (ARPC), and holds Series 6 and Series 63 FINRA Securities Licenses as well as Life and Health Insurance Licenses.

WORKING WITH RETIREMENT PLANS SINCE 1990

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JONATHAN ST. CLAIR

QPFC

Chief Fiduciary Officer SageView Advisory Group 5 Concourse Pkwy, Suite 1800 Atlanta, GA 30030

BUSINESS STATISTICS Retirement Plans: 34 Retirement Assets: $5,289,000,000 Participants: 70,000

Team Name: SageView South Retirement Plans: 102 Retirement Assets: $11,828,000,000 Participants: 133,000

BIOGRAPHY Jonathan is a Retirement Plan Consultant in the Atlanta office of SageView’s Southeast Team. Jonathan uses his legal background to help clients understand and address fiduciary risks they encounter as sponsors of 401(k), 403(b) and various other qualified and nonqualified retirement plans. He works to deliver quality retirement plan solutions to plan sponsors and their participants, using SageView’s proprietary analytical tools as well as his in-depth understanding of the challenges facing the retirement plan industry.

Previously, Jonathan was a partner at a boutique law firm in Atlanta, focused primarily on estate planning and elder law issues. Before relocating to Atlanta, he worked with the Southeast Team in Knoxville.

He stays active in regulatory and legislative matters through NAPA’s Government Affairs Committee and on a task force for the Defined Contribution Institutional Investment Association (DCIIA). He is also very active in community and civic organizations, volunteering with the Atlanta Volunteer Lawyers Foundation and working with the First Tee of East Lake program, and previously serving on several boards, including the Georgia Chapter of the American Parkinson’s Disease Association.

Jonathan earned his undergraduate degree in Finance and Business Administration from the University of Tennessee, and a JD from Georgia State University College of Law. He is a licensed attorney in Tennessee and Georgia and holds multiple securities registrations. When not at work, Jonathan enjoys playing golf and hiking with his wife and two children.

WORKING WITH RETIREMENT PLANS SINCE 2002

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CRAIG STANLEY NAPA CPFA™

Lead Partner, Retirement Plan Consulting Summit Group of Virginia LLP 5029 Corporate Woods Drive, Suite 200 Virginia Beach, VA 23462

BUSINESS STATISTICS Retirement Plans: 40 Retirement Assets: $700,000,000 Participants: 12,000

MISSION STATEMENT As fiduciary advocates, we are determined to help create a significant, positive impact on the retirement outcomes of every American worker within our reach.

BIOGRAPHY 214

As the leader of Summit Group 401(k) Consulting, Craig provides independent advice to organizations in order to minimize their fiduciary liability and maximize employee success. As a financial consultant, he also provides individuals, retirees and retirement plan participants with comprehensive planning, education and analysis to assist them in attaining their financial and retirement goals. After graduating from James Madison University, he earned his Certified Public Accountant (CPA) designation with KPMG LLP and went on to serve as the controller for one of the largest mortgage companies in the mid-Atlantic region.

Since joining our firm in 2007, Craig has quadrupled the scope of our retirement plan practice. He is a recognized industry leader and frequent award winner, serving as an author, speaker and advocate in the retirement plan industry.

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JANIA STOUT NAPA CPFA™

Practice Leader Fiduciary Plan Advisors 10461 Mill Run Circle, Suite 830 Owings Mills, MD 21117

P TO PA S NAOMEN OR 9

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BUSINESS STATISTICS Retirement Plans: 34 Retirement Assets: $4,000,000,000 Participants: 200,000

Team Name: Fiduciary Plan Advisors Retirement Plans: 120 Retirement Assets: $5,000,000,000 Participants: 250,000

MISSION STATEMENT Help Working America Feel Less Stressed and Be Happy!

BIOGRAPHY Jania, Managing Director, Founder of Fiduciary Plan Advisors at HighTower, brings over 25 years of experience. Her team advises close to $5 billion in retirement plan assets covering over 200,000 employees.

She is a nationally recognize speaker on several topics including her main passion of merging the Health & Wealth discussions. Jania spent the first half of her career working at two of the biggest recordkeepers in the industry. She was a Senior Account Executive at Fidelity prior to becoming an independent advisor. In 2019, Jania was named one of the top 20 women in the country as a Women to Watch winner given by Investment News. She is a Past President of NAPA. Jania was asked to testify in front of Congress in the summer of 2017 to speak as a Retirement Expert. She has also met with the DOL in the Spring of 2016 to provide her thoughts and opinions about the pending (at the time) Fiduciary Regulation. Jania has been featured in Investment News, Benefits Magazine, RIA Biz and PLANSPONSOR magazine. She won Plan Advisor of the Year in 2016 and has been named Top 100 Plan Advisors.

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COURTNEY STROOPE Vice President, Producer Lockton Retirement Services 2100 Ross Avenue, Suite 1200 Dallas, TX 75214

ACES

2020

NAPA’S TOP PLAN ADVISORS UNDER 40

BUSINESS STATISTICS Retirement Plans: 55 Retirement Assets: $3,000,000,000 Participants: 75,000

Team Name: Lockton Retirement Services - Dunning Practice Retirement Plans: 250 Retirement Assets: $17,000,000,000 Participants: 300,000

MISSION STATEMENT

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Lockton is the word’s largest privately owned, independent insurance broker and consultant. As a global professional services firm, we specialize in risk management, employee benefits and retirement services. Through this expertise, we help clients protect their most valuable assets – their people, property and reputations. Lockton Retirement offers protection for your business, security for your employees through comprehensive advice, disciplined process and client results.

BIOGRAPHY Courtney joined Lockton Retirement Services as the first full time Texasbased associate in 2005 and was promoted to partner in February 2017.

Through her time at Lockton, she has helped grow the Texas practice from a two-person team, into the largest Lockton Retirement office in the country with 30 team members and over $15 billion in assets under advisement. Courtney has experience on both the consultant and plan sponsor side of the retirement industry.

Courtney graduated from Texas A&M University with a BBA in Finance and has her FINRA 7 and 26 licenses as well as her NASAA 66 license.

Outside of work and spending time with her family, Courtney is actively involved in her community by serving as a Board Member for Lakewood Early Childhood PTA and member of Southwest Benefits Association and Women in Pensions Network.

WORKING WITH RETIREMENT PLANS SINCE 2005

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MARCY SUPOVITZ AIF® • NAPA CPFA™ • CPC • QPA

Principal Boulay Donnelly & Supovitz Financial Services 324 Grove St Worcester, MA 01605

P TO PA S NAOMEN OR 9

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BUSINESS STATISTICS Retirement Plans: 40 Retirement Assets: $300,000,000 Participants: 8,400

Team Name: Boulay Donnelly & Supovitz Retirement Plans: 57 Retirement Assets: $425,000,000 Participants: 11,900

MISSION STATEMENT Our mission is to help employers and employees make smart decisions about their retirement plans. From plan design and fiduciary oversight to employee education and counseling, everything we do focuses on improving the retirement experience. We ask the right questions. We listen. We do our homework. Together, we drive better outcomes.

BIOGRAPHY Marcy is a Principal with Boulay Donnelly & Supovitz Financial Services in Worcester, Massachusetts, where she advises a wide range of corporate retirement plan sponsors on plan design, investment strategy, fiduciary governance and participant education. Marcy is the founding president of the National Association of Plan Advisors (NAPA) and past president of the American Retirement Association (ARA). In 2019, she began a three-year appointed term on the U.S. Department of Labor ERISA Advisory Council. A 30-year veteran of the financial services industry, Marcy was previously Executive Vice President of Pioneer Investments where she led Pioneer’s retirement plan and DCIO businesses. Earlier in her career, she led the retirement plans division at Allmerica Financial and also served on the adjunct faculty of Purdue University. Marcy graduated summa cum laude and Phi Beta Kappa from Clark University with top honors in mathematics. She is a three-time recipient of the Martin Rosenberg Academic Achievement Award for attaining the highest nationwide score on American Society of Pension Professionals and Actuaries (ASPPA) exams. She is a Certified Pension Consultant, Accredited Investment Fiduciary, Chartered Financial Consultant, Chartered Life Underwriter, Fellow of the Life Management Institute, and Registered Securities Principal.

WORKING WITH RETIREMENT PLANS SINCE 1977

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GORDON TEWELL CPC • QPA

Principal, CFA Innovest Portfolio Solutions LLC 4643 S Ulster Street, Suite 1040 Denver, CO 80237

BUSINESS STATISTICS Retirement Plans: 53 Retirement Assets: $18,000,000,000 Participants: 106,000

Team Name: Innovest Portfolio Solutions LLC Retirement Plans: 145 Retirement Assets: $25,000,000,000 Participants: 260,000

MISSION STATEMENT We are more than an investment firm. We are thoughtful stewards responsible for our clients, professionals and community.

BIOGRAPHY 218

Gordon joined Innovest in 2007 and is a Principal and member of Innovest’s Investment Committee and Innovest’s Retirement Plan Practice Group. He is an occasional speaker at industry conferences including the PLANSPONSOR Annual Conference, the Western Pension and Benefits Council/American Society of Pension Professionals & Actuaries national conference, the Colorado Public Plan Conference and the Rocky Mountain Benefit Plans Conference. Due to his expertise in retirement plan design and management and in-depth understanding of IRS and DOL rules and regulations, his responsibilities include consulting on plan design and features, plan health and retirement readiness, fiduciary responsibilities and protection, plan benchmarking, vendor search analysis, and investment menu design and implementation.

Gordon is a Chartered Financial Analyst (CFA) and a member of the CFA Institute and the CFA Society of Colorado. Additionally, Gordon has received the Qualified 401(k) Administrator (QKA), Qualified Pension Administrator (QPA) and Certified Pension Consultant (CPC) designations from the ASPPA. The CPC designation is the highest non-actuarial designation available from ASPPA and requires in-depth understanding of IRS Code and DOL regulations and an extensive working knowledge of plan features and design. CPCs generally work alongside employers to formulate, implement, administer, and maintain qualified retirement plans.

WORKING WITH RETIREMENT PLANS SINCE 1996

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LEAH TRIBE CRPS®

Sr. Wealth Stratgey Associate UBS Financial Service 925 4th Ave, Suite 3100 Shoreline, WA 98133

BUSINESS STATISTICS Retirement Plans: 13 Retirement Assets: $2,000,000,000 Participants: 35,000

Team Name: UBS Institutional Consulting Group - Northwest Retirement Plans: 90 Retirement Assets: $37,000,000,000 Participants: 250,000

MISSION STATEMENT We believe in offering our clients an experience with customized advice and broad financial insights. Our goal is to always incorporate our clients’ needs and industry changes into our proactive consulting process. We strive to foster a collaborative relationship with our clients, in order to successfully implement sound fiduciary governance, optimize their plan health, and prepare their employees for life beyond retirement.

BIOGRAPHY Leah is a Senior Wealth Strategy Associate and Consulting Associate with the UBS Institutional Consulting Group–Northwest in Seattle, WA and joined UBS Financial Services Inc. in 2010. She graduated with her BA from the University of Washington in Seattle, in 2008 with a degree in Studio Art. Her role on the team involves working with Corporate and Government Retirement Plans, Defined Benefit and Non-Qualified Plans, Foundations, Endowments, Corporate Reserves and Non-Profit organizations. Leah’s key client responsibilities include, recordkeeper search and selection, including the development of a Request for Proposal, assistance with investment policy development, asset allocation studies, investment manager searches, quarterly performance monitoring, fee benchmarking, trustee education, and participant education. She lives in the Seattle area and enjoys spending time with her two Boston Terriers and her husband. She is an active member of the Investments & Wealth Institute and regularly attends industry conferences.

WORKING WITH RETIREMENT PLANS SINCE 2013

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PETER TSUKAZAKI AIFŽ • QPFC

Managing Partner TAO Investments Hawai`i 1299 South Beretania Street, Suite 220 Honolulu, HI 96814

BUSINESS STATISTICS Retirement Plans: 100 Retirement Assets: $500,000,000 Participants: 6,000

Team Name: TAO Investments Hawai`i Retirement Plans: 100 Retirement Assets: $500,000,000 Participants: 6,000

MISSION STATEMENT

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Our mission is to develop lasting plans for our clients to help them reach their goals. We accept that each client is different and as such, our approach is customized for each engagement. Our team of specialists allows us to help execute these plans with expertise and independence.

Our greatest reward is seeing our clients find financial balance which brings them peace of mind.

BIOGRAPHY Peter has over 33 years of experience in the financial service industry, including 27 years working with qualified retirement plans, and continues to pursue excellence. As such, he quickly obtained his fiduciary training and then was one of the first consultants in the nation to obtain the QPFC designation sponsored by ASPPA. He became the only Hawaii consultant that is a founding member firm of NAPA and he also is a member of the NAPA Government Affairs committee. Currently he is preparing to provide fiduciary assessments to plan sponsors. His purposeful positioning to be at the forefront of the industry, helps his team to collaborate and prepare for how best to serve their clients and community.

WORKING WITH RETIREMENT PLANS SINCE 1990

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CHRISTINA TUNISON AIF® • NQPA • QPFC

Senior Retirement Plan Consultant Lifetime Companies 843 Quince Orchard Blvd., Suite E Gaithersburg, MD 20878

BUSINESS STATISTICS Retirement Plans: 15 Retirement Assets: $100,000,000 Participants: 2,025

Team Name: Lifetime Benefits Retirement Plans: 35 Retirement Assets: $225,000,000 Participants: 4,600

BIOGRAPHY Christina is the Senior Retirement Plan Consultant at Lifetime Benefits, based out of Gaithersburg, MD. A 15-year veteran of the financial services industry, she has been dedicated to assisting retirement plan sponsors help their employees prepare adequately for retirement.

Christina has been an advisor since 2016, previously with recordkeeping firms, including T. Rowe Price and Principal Financial Group. She has an extensive background with retirement plans including Defined Contribution, Defined Benefit and Non-Qualified plans. Christina holds the FINRA Series 6, 7, 63 and 66 securities registrations and a Maryland Resident Life and Health Insurance License. Christina has received the following retirement plan specific professional designations: Qualified Plan Financial Consultant (QPFC) issued by the National Association of Plan Advisors, the Retirement Plans Associate (RPA) part of the larger CEBS designation, issued by the International Foundation of Employee Benefit Plans. She also holds the Accredited Investment Fiduciary (AIF) issued by Fi360. Most recently, she completed the Nonqualified Plan Adviser (NQPA) certificate issued by the National Association of Plan Advisors. Christina is currently a co-chair of the Washington, D.C., chapter of Women in Pensions Network (WiPN) and an avid community volunteer in the Washington, D.C., area.

WORKING WITH RETIREMENT PLANS SINCE 2006

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JOSH ULMER AIF® • CIMA®

Institutional Consulting Director Graystone Consutling - Seattle/Portland 760 SW 9th Ave., Suite 2100 Portland, OR 97209

BUSINESS STATISTICS Retirement Plans: 40 Retirement Assets: $2,000,000,000 Participants: 18,000

MISSION STATEMENT At the core of our consulting practice is an objective, disciplined and results-oriented process that begins and ends with each client. We provide leading workplace retirement solutions for clients throughout the West. Our service model combines the resources and oversight of a global financial firm with the specialized experience and local engagement of a boutique service team.

222

BIOGRAPHY Joshua is an Institutional Consulting Director and leads Graystone Consulting’s Pacific Northwest team. As the practice leader, Joshua is charged with overseeing all aspects of the fiduciary consulting process and client experience. Joshua received his B.A. from Lewis and Clark College in 2001. He went on to complete the CIMA program at University of Pennsylvania’s Wharton School in 2005. In 2010 he became a CFA charterholder. In 2012 he completed the CRPS designation and in 2014 the Risk Management Certificate program at the NY Institute of Finance. In 2020 he enrolled in the LEAD program through the Stanford Graduate School of Business. Joshua is a member of the CRD Advisory Board at Morgan Stanley, Retirement Advisor Council of America and is Advisory Board member for the PLANSPONSOR National Conference and Institutional Investors Retirement Plan Advisor Summit. Joshua has been the recipient of various forms of industry recognition: 2017 PLANSPONSOR Retirement Plan Adviser of the Year; PLANADVISER’S TOP 100 RETIREMENT PLAN ADVISERS 2017 - 2020; Financial Times Top 401 Retirement Plan Advisors 2015 – 2019; Barron’s Top 1,200 Financial Advisors in America 2016 – 2020; National Association of Plan Advisers Top DC Advisory Teams in 2017 – 2019.

WORKING WITH RETIREMENT PLANS SINCE 2004

2020 NAPA D.C. FLY-IN FORUM

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NQPA Nonqualified Plan Advisor

Appealing to business owners as a great way to reward and retain their highly compensated and mission-critical employees, nonqualified plans offer unique benefits that qualified plans don’t.

Earn your NQPA Certificate by completing NAPA’s online nonqualified plan advisor program.

223

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JEFFREY VANDER WEELE AIF® • CIMA®

Managing Director, Wealth Management Blueway Financial Partners of Raymond James 2060 East Paris Ave SE Grand Rapids, MI 49546

BUSINESS STATISTICS Retirement Plans: 10 Retirement Assets: $350,000,000 Participants: 5,000

MISSION STATEMENT Blueway—Noun 1. a path of water or trail that has already been navigated and provides trail markers for future journeyers. Much in the same way, we are here to journey with you. Having navigated a variety of complex financial situations, we are committed to being a trusted financial guide to both individuals and institutions.

BIOGRAPHY 224

A transplant from Wisconsin, I moved to Grand Rapids at 18 to attend Calvin College. Several years later, my highschool sweetheart Dawn and I got married, fell in love with West Michigan, and decided to settle here.

Today we reside in Ada and are blessed with four incredible children.

I am currently an amateur golf, tennis, and fitness enthusiast. I’m not sure which sport I would play professionally when I grow up, but for now it’s been suggested I stick with my day job. I strive to live my life in such a way that honors God in all that I do. I love my job, and I love the investment business. I really enjoy developing long-term, meaningful relationships with clients. Their stories, their dreams, are very inspiring to me, and I am so grateful for their trust and friendships.

WORKING WITH RETIREMENT PLANS SINCE 2002

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ADAM WEISS QPA

Advisor/Vice President LPL Financial & The Weiss Group, Inc. 400 Skokie Blvd., Suite 415 Northbrook, IL 60062

BUSINESS STATISTICS Retirement Plans: 65 Retirement Assets: $125,000,000 Participants: 3,000

MISSION STATEMENT It’s about goals. Ours is to help you reach yours. If you succeed, we do too.

BIOGRAPHY Focused on relationship management, Adam’s expertise enables him to bridge the gap between plan sponsors and plan participants.

He educates and trains plan sponsors and participants to ensure an informed and clear path is charted toward retirement. Adam advises clients as a fiduciary to select, monitor and review retirement investments. He practices his fiduciary role as a professional responsibility as well as a personal obligation, earning confidence and protecting the trust that clients place in him. Adam’s exceptional ability to discern what is accurate and true – in financial statements and in life – distinguishes him from his peers, as do his compassion, patience and love for detail. Adam earned a degree in finance from Indiana University and has worked as a retirement plan professional since 1987. Adam is an Investment Advisor Representative (IAR) and provides 3(21) and 3(38) fiduciary investment services through his relationship with LPL Financial.

He has earned the Professional Plan Consultant (PPC) Designation through Fi360, maintains a membership with the American Society of Pension Professionals & Actuaries (ASPPA), and holds designations for ASPPA’s Qualified Plan Administrator (QPA) and Qualified 401(k) Administrator (QKA). Adam speaks regularly to business, peer and professional groups regarding retirement plan issues.

WORKING WITH RETIREMENT PLANS SINCE 1987

225

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PATRICIA WENZEL NAPA CPFA™ • CRPC® • CFP®® • C(k)P™

Retirement Benefits Consultant Merrill Lynch 800 Capitol Street Houston, TX 77002

P TO PA S NAOMEN OR 9

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BUSINESS STATISTICS Retirement Plans: 52 Retirement Assets: $1,300,000,000 Participants: 20,000

MISSION STATEMENT Our mission is to help people across America get to and through a comfortable retirement. We do this by focusing our efforts on working with plan sponsors to be strong stewards of the employees they represent and helping employees achieve financial freedom.

BIOGRAPHY 226

Pat has worked in the financial services industry specializing in retirement plans and retirement planning since 1991. She is truly passionate about helping individuals and corporations achieve their financial goals. Pat and her team work with 401(k) plans, non-qualified deferred compensation plans, and employer stock option plans. As a Certified Financial Planner she works with individual private wealth management clients on all financial planning needs. Pat and her husband Tim live in Missouri City, TX, a suburb of Houston, and enjoy spending time with their dogs, cat, and horse.

WORKING WITH RETIREMENT PLANS SINCE 1994

2020 NAPA D.C. FLY-IN FORUM

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GERALD WERNETTE AIFA® • C(K)P™ • NQPA

Principal/Director of Retirement Plan Consulting Rehmann Financial 39300 W. 12 Mile Rd., Suite 100 Farmington Hills, MI 48331

BUSINESS STATISTICS Retirement Plans: 205 Retirement Assets: $397,164,809 Participants: 14,528

Team Name: Rehmann Financial Retirement Plans: 254 Retirement Assets: $709,818,936 Participants: 18,500

MISSION STATEMENT At Rehmann, we believe that our long-term success depends first and foremost on people. By putting people first in everything we do, we develop and maintain high quality, mutually profitable relationships with our associates, clients, suppliers, strategic alliance partners and communities. We are obsessed with client success. By always putting our clients’ interests first, we develop a deep understanding of their business and personal goals. To maintain the trust of our clients and our fellow associates, we never waver from the highest standards of integrity, respect and business ethics.

BIOGRAPHY Gerald works with organizations in a wide range of industries and from one-person firms to organizations with over 15,000 employees, guiding them and their employees towards maximizing their retirement benefit goals while minimizing their risks encountered along the way.

He has earned designations as a CPA, Certified Employee Benefit Specialist, Accredited Investment Fiduciary Analyst®, Certified 401(k) Professional™, Non-qualified Plan Advisor,and an Investment Advisor Representative. Gerald has spoken at many conferences and currently serves as a local youth leader. Gerald is a member of the AICPA, International Society of CEBS, Michigan Association of CPA’s, and various advisory boards. He was voted in 2009, 2010, 2011 and 2016 as one of the top defined contribution plan advisors and NAPA Top DC Advisor Firm in 2017. He is also a founding lecturer for The Retirement Advisor University.

WORKING WITH RETIREMENT PLANS SINCE 1985

E M E R G I N G

A D V I S O R

SIMON MICAKOVIC

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SHAWN WEST AIF® • CRPS®

Principal CuraFin Advisors 15333 N. Pima Rd., Suite 215 Scottsdale, AZ 85260

BUSINESS STATISTICS Retirement Plans: 44 Retirement Assets: $154,000,000 Participants: 9,500

MISSION STATEMENT Through effective plan management we provide financial care for people and their families over their lifetime.

BIOGRAPHY

228

Shawn is a Principal at CuraFin Advisors and is responsible for overseeing the firm’s strategic direction and client service experience.

He is an ERISA specialist with over a decade of knowledge in plan management; analyzing client objectives, determining strategic and tactical plan design, selecting providers, reviewing plan costs, implementing and managing to these strategies. Shawn studied Psychology at Southern Illinois University, has obtained his series 6, 63, and 65 licenses, and holds Certified Plan Fiduciary Advisor (NAPA CPFA™) and Accredited Investment Fiduciary (AIF®) designations.

Shawn is a member of Vistage Worldwide, a founding ambassador for TGen (Translational Genomics Research Institute), a member of the Phoenix Children’s Hospital men’s board, and has served on numerous local boards.

WORKING WITH RETIREMENT PLANS SINCE 2005

2020 NAPA D.C. FLY-IN FORUM

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COREY WHITEHEAD AIFÂŽ

EVP HUB/MRP 4600 S. Ulster St., Suite 550 Denver, CO 80237

BUSINESS STATISTICS Retirement Plans: 150 Retirement Assets: $3,000,000,000 Participants: 30,000

Team Name: HUB/MRP Retirement Plans: 300 Retirement Assets: $10,000,000,000 Participants: 65,000

MISSION STATEMENT Keeping retirement plans simple and effective for employers and the ones that will retire.

BIOGRAPHY Corey is a Principal and COO at Moreton Retirement Partners (MRP).

He has been in the financial industry for 15 years and is an Accredited Investment Fiduciary (AIFÂŽ). Corey has worked with hundreds of employers, helping them to implement prudent processes that have reduced their fiduciary liability and plan expenses and significantly improved the participant outcomes of their plans. He is a frequent speaker at retirement industry events and has given hundreds of retirement plan workshops to educate employers and employees on the key elements of successful retirement plans. In 2013, MRP was one of three finalists for the NAPA 401(k) Advisor Leadership Award.

In addition, PLANADVISER magazine has recognized MRP as a Top 100 Retirement Plan Adviser Team for the past three years. Corey is a registered representative with LPL Financial and an investment advisor representative with Independent Financial Partners. He graduated from the University of Kansas in 1996 with a degree in Business and Finance.

WORKING WITH RETIREMENT PLANS SINCE 2000

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MICHAEL WHITEHURST NAPA CPFA™ • CRPC® • CRPS® • CFP® • CIMA® • C(k)P™

Wealth Management Advisor, Vice President Bank of America/Merrill 200 Concord Plaza, Suite 100 San Antonio, Texas 78216

BUSINESS STATISTICS Retirement Plans: 48 Retirement Assets: $110,000,000 Participants: 3,300

Team Name: Collins Whitehurst Femat Group Retirement Plans: 48 Retirement Assets: $215,000,000 Participants: 3,300

MISSION STATEMENT Bank of America’s corporate mission is “to help make financial lives better by connecting clients and communities to the resource they need to be successful.”

BIOGRAPHY 230

Michael worked for IBM in Los Angeles before joining Merrill Lynch Wealth Management in 1995. With the Collins Whitehurst Femat Group, he concentrates on offering advice and guidance to clients on the potential benefits of the wide range of products and services offered by Merrill. Michael also assists businesses in enhancing and implementing their corporate retirement plans and he offers access to commercial lending facilities through Bank of America. He is passionate about helping these clients educate their employees about wealth management strategies and investing for their future. Michael received his BBA degree from Texas Christian University, with a major in marketing and a minor in psychology. Michael is married with three daughters. He is a past board chair of Catholic Charities and of TCU SA Alumni Association, a past board member of American Lung Association of Texas, a member of Missionary Oblate partnership, and a 2005-2006 Leadership SA class graduate.

WORKING WITH RETIREMENT PLANS SINCE 1999

2020 NAPA D.C. FLY-IN FORUM

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JERRY WHITMIRE AIF® • CRPS® • QPFC

FA Morgan Stanley 333 John Carlyle Street, Suite 650 Alexandria, VA 22314

BUSINESS STATISTICS Retirement Plans: 22 Retirement Assets: $315,000,000 Participants: 2,700

Team Name: Bauer-Whitmire Retirement Plans: 22 Retirement Assets: $315,000,000 Participants: 2,700

MISSION STATEMENT The Bauer Whitmire Team remains dedicated to providing objective, unbiased, relevant and experienced advice. Combining the depth, breadth and extensive resources inherent with Morgan Stanley provides with an ongoing total immersion in continuing crucial ERISA education.

We assist plan sponsors in all retirement plan matters efforts assuring fiduciary compliance, incorporating prudent processes and repeatable procedures to ensure their plan participants are prepared to secure a dignified retirement.

BIOGRAPHY Jerry is a retirement plan specialist at Morgan Stanley. His certifications include Chartered Retirement Plan Specialist (CRPS®), Certified Behavioral Finance Analyst (CBFA®), Accredited Investment Fiduciary (AIF®), Accredited Asset Management Specialist (AAMS®) and Qualified Plan Financial Consultant (QPFC®). He received a Bachelors in Business Administration from The College of William & Mary.

WORKING WITH RETIREMENT PLANS SINCE 2004

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CHARLES WILLIAMS AIF® • CRPC® • CRPS® • CFP® • C(k)P™

Chief Executive Officer Finspire, LLC 1515 Woodfield Road, Suite 840 Schaumburg, IL 60173

BUSINESS STATISTICS Retirement Plans: 41 Retirement Assets: $1,200,000,000 Participants: 34,000

MISSION STATEMENT To maximize the impact of corporate retirement plans for institutions and their employees.

BIOGRAPHY

232

As a 25-year industry veteran, Chuck has devoted his professional life to enhancing the financial well-being of institutional and individual clients. He is a frequent guest speaker at financial industry conferences, has authored numerous white papers and has taught various courses for financial services professionals. Chuck believes in providing sound, objective financial advice based on a thorough understanding of the needs of the client. As the Finspire, LLC Chief Executive Officer and Senior Consultant, he provides oversight of the firm and is a lead consultant for many of the firm’s corporate retirement plans and high-net worth individual clients. Chuck works closely with his team to develop and maintain an exceptionally high level of service and expertise for Finspire clients. He is also an Adjunct Professor at Northwestern’s School of Continuing Studies, where he has been teaching the Retirement Planning and Employee Benefits course since 2005. He earned his B.S. in Finance from DePaul University and his Masters in Business Administration from the Kellstadt Graduate School of Business at DePaul University

WORKING WITH RETIREMENT PLANS SINCE 1997

2020 NAPA D.C. FLY-IN FORUM

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ALLISON WINGE AIF® • NAPA CPFA™ • NQPA • QPFC

Executive Vice President Plexus Financial Services 21805 W. Field Parkway, Suite 300 Deer Park, IL 60010

BUSINESS STATISTICS Retirement Plans: 22 Retirement Assets: $4,000,000 Participants: 8,000

Team Name: Plexus Financial Services Retirement Plans: 92 Retirement Assets: $16,000,000 Participants: 32,000

MISSION STATEMENT We are an objective, independent firm specializing in corporate retirement plan advisory services, including 401(k), 403(b), 457, defined contribution, defined benefit, and non-qualified plans. In many cases, we are participating as 3(21) investment co-fiduciaries to our clients’ sponsored plans, and we act in the best interests of their retirement plan participants. We work to mitigate the fiduciary risk faced by corporate plan sponsors, and we advocate for employers and their employees. We develop plan objectives, provider partnerships, and open-fund architectures to design and implement best-in-class solutions for our clients’ retirement planning needs and objectives. Above all, Plexus Financial Services works to ensure that employers and employees maximize the nest-egg-building opportunity provided within corporate retirement plans. We measure plan performance against numerous critical metrics, including aggregate investment lineup performance – and whether plan participants are on target toward reaching their retirement goals. Corporate retirement planning is all we do. We are not individual wealth managers; we are advisors bound to do right by our clients’ sponsored plans and their plan participants. And we want all of our clients’ plan participants to be able to enjoy the fruits post-work life.

Together, we will work to get you where you want to be.

BIOGRAPHY With nearly two decades of industry experience to her credit, Allison brings a strong background in retirement plan consulting and administration to Plexus Financial Services. An Accredited Investment Fiduciary (AIF®) and Qualified Plan Financial Consultant (QPFC), Allison has vast 401(k) and ERISA plan design experience. She is committed to providing independent, objective, proactive advice on corporate retirement plan strategies. Furthermore, she is passionate about employee education and the development of clear, engaging employee communication plans. Before joining Plexus, Allison served in a variety of financial planning management roles. Notably, she was a Regional Vice President for Transamerica, where she consulted with thousands of plan sponsors and participants throughout her career.

WORKING WITH RETIREMENT PLANS SINCE 2001

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HEATHER WONDERLY AIF® • NAPA CPFA™

Director of Corporate Retirement Plans Aldrich Wealth 5665 SW Meadows Road, #200 Lake Oswego, OR 97035

BUSINESS STATISTICS Retirement Plans: 14 Retirement Assets: $566,786,089 Participants: 2,042

Team Name: Aldrich Wealth Retirement Plans: 74 Retirement Assets: $1,083,795,893 Participants: 10,959

MISSION STATEMENT Helping our clients achieve their goals.

BIOGRAPHY

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Heather has been working in the investment field since 2000. She provides guidance to 401(k) pension committees, helping them understand investments, compliance, fiduciary responsibility, and administration for corporate retirement plans. She also provides ongoing employee education to plan participants. She holds an Accredited Investment Fiduciary® and Certified Plan Fiduciary Advisor credentials and has also completed the Series 7 and Series 66 security exams.

Heather received her Bachelor of Science in political science from Oregon State University. She was named as one of NAPA’s 2017 Young Guns Top 75 under 40.

WORKING WITH RETIREMENT PLANS SINCE 2002

E M E R G I N G

A D V I S O R

JON METZ

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MARC ZIMMERMAN AIF®

Director, Retirement Plans Centurion Group/MMA 1000 Corporate Drive, Suite 400 Ft. Lauderdale, FL 33334

BUSINESS STATISTICS Retirement Plans: 45 Retirement Assets: $1,200,000,000 Participants: 25,000

Team Name: Centurion Group/MMA Retirement Plans: 200 Retirement Assets: $20,000,000,000 Participants: 450,000

MISSION STATEMENT Successful, Retirement-Ready, Healthy Employees. Your Goal. Our Expertise

BIOGRAPHY Prior to the sale of their firm to Marsh & McLennan in 2019, Marc was a Partner at The Centurion Group and has been in the retirement plan industry since 1995. He is responsible for providing retirement plan investment advisory and consulting services for corporate fiduciaries.

Before joining The Centurion Group, Marc ran the retirement division of Mahoney & Associates, a regional benefits consulting firm in Fort Lauderdale. During his eight years at the firm, he grew their retirement practice to one of the largest in the country. From 2007 - 2011 The 401KWIRE publication named Marc one of the retirement industry’s 100 most influential people. In 2011 he was awarded the Large Market Advisor of the Year by the same organization, selected by his peers in the industry. From 2014-2018 Plan Sponsor Magazine ranked The Centurion Group as one of the top 20 Retirement Plan Advisory Firms in the country. In December of 2016 Marc published a book titled, “Transforming Your Company’s Retirement Plan from Good to Great.”

WORKING WITH RETIREMENT PLANS SINCE 1999

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JON ANDERSON AIF® • C(k)P™

Head of Retirement Cetera 655 W Broadway San DIego, CA 92101

BROKER DEALER/RIA Cetera Financial Group

BIOGRAPHY

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Jon is the Director of Retirement Plan Solutions at Cetera Financial Group, and a member of Cetera’s Advisor Growth leadership team. He leads the strategic expansion of the group’s qualified retirement plan offerings to support retirement-plan focused advisors. Prior to joining Cetera, Jon was VP for Institutional Sales at BrightScope, where he expanded the firm’s offering to leading broker-dealers, DCIO asset managers and record-keepers, while gaining invaluable and unique knowledge specific to retirement plan industry data. Previously, he served as west region manager of the Retirement Partners division for LPL Financial, where he worked closely with leading financial advisors, service providers and other retirement plan industry professionals to help expand LPL’s offering. Jon also brings to Cetera his experience and unique perspective through his roles as wealth manager for Colorado Financial Partners (LPL Financial) and AIG Retirement. He earned his BA, cum laude, in Economics from Franciscan University of Steubenville. He is 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 (PPC) designation and the Certified 401(k) Professional (C(k)P®) designation. He lives in San Diego with his wife and three sons.

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BRIAN BUHROW NAPA CPFAâ„¢

Retirement Relationship Manager CUNA Mutual Group 308 4th Street Grundy Center, IA 50638

MISSION STATEMENT DELIVERING INSURANCE AND INVESTMENT SOLUTIONS faster and smarter than ever before to help people achieve financial security.

BIOGRAPHY Brian joined CUNA Mutual Group in 2004, where he started as a pension technician and has functioned as a retirement specialist until assuming his new position. He is based in Grundy Center, IA. Brian has worked in the retirement services industry since 1998 and began his career at Principal Financial Group as a client services associate. He is registered with FINRA.

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JEFFERSON CHESHIER VP, Retirement Services NFP/RPAG 1250 Capital of Texas Highway, South Building 2, Suite 600 Austin, TX 78746

BROKER DEALER/RIA NFP Corp.

MISSION STATEMENT NFP’s mission is to be a world-class company that’s authentic, genuine and real. One whose expertise and scale are only matched by its passion for building lifelong personal relationships. We believe in building strong personal relationships based on trust, transparency and open communication. This delivers the best possible solutions for our clients and creates the best possible work environment for our employees.

BIOGRAPHY

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Jefferson D. Cheshier, NFP/RPAG – Vice President, Institutional Client and Member Relations. Jeff joined NFP/RPAG in 2007 and has been in the financial services industry since 1998. In his current role, Jeff works directly with RPAG’s institutional clients and individual member firms to optimize their effectiveness, efficiency and profitability by offering practice management consultation, introducing and connecting interested parties, facilitating discussions with service provider partners and acting as an advisor advocate. Jeff earned his BS and MBA from the University of Texas.

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MELISSA COWAN

QPA

Executive Director Morgan Stanley 2000 Westchester Ave Purchase, NY 10577

BROKER DEALER/RIA Morgan Stanley

MISSION STATEMENT Morgan Stanley has a long history of assisting retirement plan sponsors and participants. We are proud to have consistently delivered innovative products and solutions to the clients we serve. Our decades of experience, coupled with our knowledge of retirement plan needs, allow us to help organizations effectively manage their retirement programs and maximize the benefits to their employees.

BIOGRAPHY Melissa oversees Service for Retirement Plan Solutions at Morgan Stanley. Her team is responsible for IRAs and small business retirement plans, administration of the held-away retirement plan business and relationship management with recordkeepers. She has worked in the retirement plan industry for over 20 years. Prior to joining Morgan Stanley she was with UBS, where she developed and managed their DC Advisory program. Melissa was also employed by KeyBank where she held various positions in product management, sales, client management and recordkeeping administration. She has her Series 7, 9, 10 and 66 and QPA/QKA designations as well as a B.S. in Business Administration with a concentration in Accounting and Finance from Northeastern University. She served on the steering committee for the NAPA 401(k) Summit for four years and as co-chair of the Summit in 2017 and 2018.

She has served on the board of the Women in Pensions Network for over 4 years and was President in 2019.

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JENNIFER DOSS CRPS®

DC Practice Leader CAPTRUST 4208 Six Forks Road, Suite 1700 Raleigh, NC 27609

BROKER DEALER/RIA CAPTRUST Financial Advisors

MISSION STATEMENT Our mission is to enrich the lives of our clients, colleagues, and communities through sound financial advice, integrity, and a commitment to service beyond expectation.

BIOGRAPHY

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Jennifer joined CAPTRUST in 2007 and is currently a director and practice leader, responsible for leading the development of defined contribution services to address the needs of CAPTRUST’s clients.

Prior to joining the firm, she worked as a financial advisor at Scottrade.

Jennifer received a Bachelors degree in accounting with a concentration in finance from North Carolina State University and holds the Chartered Retirement Plan Specialist (CRPS) designation.

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NICOLE HINMAN NAPA CPFA™ • C(k)P™ • QPA

Senior Director of Retirement Plans Cambridge Investment Research 1776 Pleasant Plain Rd. Fairfield, IA 52556

BROKER DEALER/RIA Cambridge Investment Research, Inc.

MISSION STATEMENT Cambridge is an independent financial solutions firm striving to offer unbiased investment advice to investing clients. We are among the nation’s top independent broker-dealers and are fully devoted to our four core values of integrity, commitment, flexibility, and kindness. We are proud that independent financial professionals who are dedicated to our values choose Cambridge. Our purpose is to make a difference in the lives of our financial professionals, their clients, and our associates.

BIOGRAPHY I am a passionate professional, committed to helping advisors find success in the retirement plan space. Over two decades in the retirement plans arena have afforded me the privilege of building a strong technical background in ERISA and plan design, introduced me to many of the top practitioners in the industry, and develop a deep understanding of what advisors need to deliver successful solutions to their plan sponsor clients and the participants they serve. After spending 15 years as a TPA, I transitioned to the advisory side of the business, focusing solely on qualified plans. I joined the Cambridge home office team in February 2016, and I’ve never had more fun at work than I do now! I believe that all employers deserve knowledgeable advisors who will advocate for their best interests and who will help them understand and manage the fiduciary responsibilities that come along with sponsoring retirement plans. I believe that all employees deserve thoughtful assistance in planning for their financial futures, and I believe that retirement plan advisors deserve expert support in navigating this ever-changing landscape. I’m honored to work alongside of our advisors in pursuit of retirement security for all American workers.

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GUY HOCKER C(k)P™ • CPC

President Cetera Retirement Plan Specialists 2125 Oak Grove Road Walnut Creek, CA 94536

BROKER DEALER/RIA Cetera Financial Group

MISSION STATEMENT Our staff has decades of experience and is highly educated in the fields of retirement plan creation and employee benefit plan administration.

Key to the success of Cetera Retirement Plan Specialists is the leadership provided by our management team.

BIOGRAPHY

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Guy Hocker leads Cetera Retirement Plan Specialists as its President.

Prior to joining Cetera Retirement Plan Specialists, Mr. Hocker held the role of president and COO of Benefit Planning, Inc., the Los Angeles office of National Investment Managers, Inc., a publicly held company.

He previously performed as an ERISA lawyer for more than a decade, including substantial Internal Revenue Service/Department of Labor submissions and negotiations; complex plan designs (defined benefits/ defined contribution combinations); niche designs (prevailing wage and non-profit); and comprehensive experience with qualified plan compliance practice management.

Mr. Hocker is a member of the American Society of Pension Professionals and Actuaries (ASPPA), the National Institute of Pension Administrators (NIPA), and the Western Pension and Benefits Conference, and is an associate member of the National Tax Sheltered Accounts Association (403(b) emphasis). His professional designations include ASPPA Certified Pension Consultant and ASPPA Associate Professional Member. He frequently speaks at industry events and has served as president of the Los Angeles NIPA chapter.

Mr. Hocker earned his law degree from William Howard Taft University and his bachelor’s degree in business administration from the Walter Haas School of Business at the University of California, Berkeley. He is also a licensed member of the California bar.

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MICHAEL INGENITO AIF® • NAPA CPFA™ • QPA

Partner RPAS 72 Queen Street Southington, CT 06489

BROKER DEALER/RIA Cetera Financial Group

MISSION STATEMENT Managing the Retirement Plan Business for financial institutions and their intermediaries.

BIOGRAPHY With more than 35 years of experience in the qualified marketplace, Mike is a seasoned industry expert who has represented Fortune 500 companies throughout his career. He specializes in providing comprehensive solutions for qualified retirement plans, including plan design, compliance, and administration. Through a unique consultative approach, combined with the use of industry best practices and knowledge, Retirement Plan Advisory Services (RPAS) is equipped to support the demands of the fee disclosure regulations. Mike has a diverse and deep experience in the retirement plan arena. Prior to becoming a partner at RPAS, Mike worked at John Hancock, Diversified Investment Advisors and William M. Mercer. He held a variety of roles that included consulting, plan design, compliance, sales, systems administration, and third-party administration. Mike holds the following professional designations: Certified Employee Benefits Specialist (CEBS), Certified Plan Fiduciary Advisor (CPFA), Qualified Pension Administrator (QPA), Accredited Investment Fiduciary (AIF), and Fellow, Life Management Institute (FLMI)

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PHYLLIS KLEIN

PRP® • QPFC

Senior Director CAPTRUST Financial Advisors 4208 Six Forks Road #1700 Raleigh, NC 27617

BROKER DEALER/RIA CAPTRUST Financial Advisors

MISSION STATEMENT Our mission is to enrich the lives of our clients, colleagues and communities through sound financial advice, integrity and a commitment to service beyond expectation.

BIOGRAPHY

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As a Senior Director in the Consulting Solutions Group of CAPTRUST Financial Advisors, Phyllis has overall responsibility for maintaining CAPTRUST’s fiduciary standards, ERISA technical and regulatory issues and Participant Advice Services in directly supporting CAPTRUST’s advisors and clients. Phyllis has a Bachelor of Science degree from the University of Wisconsin-Lacrosse and has over 30 years of retirement plan industry experience, including plan design consulting, investment advisory support and fiduciary expertise.

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OFFICE

RANDY LONG AIF®

Managing Principal SageView Advisory Group 1920 Main Street, Suite 800 Irvine, CA 92614

BROKER DEALER/RIA SageView Advisory Group

MISSION STATEMENT There may be no certainty in the retirement business, but at SageView we can promise clarity on fiduciary obligations, investing, compliance, participant behavior and all the other issues that make plan sponsorship a difficult road to navigate. We’ll help you see where you’re going.

BIOGRAPHY Randy is founder and Managing Principal of SageView Advisory Group, and currently serves as the firm’s CEO. He founded SageView in 1989 by assembling a team of seasoned financial advisors and investment specialists across the country. The firm has since grown to one of the leading retirement advisory organizations in the United States with 23 locations and over $88 B in assets under management.

Randy has over 30 years of industry experience in retirement plan administration, plan design analysis, investment consulting and risk management. He has extensive experience in the oversight and operations of retirement plans and assisting plan fiduciaries with their fiduciary responsibilities. Under his leadership, the firm currently serves over 1,200 corporate and non-profit plan sponsors throughout the United States. Randy’s professional memberships and affiliations include the American Society of Pension Professionals & Actuaries and the National Association of Plan Advisors. He is also a Registered Principal of Cetera (Cetera Advisor Networks LLC) with multiple securities registrations.

Randy earned a Bachelor’s Degree in Business Administration from San Diego State University and has attained the Accredited Investment Fiduciary designation from the Center for Fiduciary Studies at the University of Pittsburgh.

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VINCENT MORRIS

AIFÂŽ

President Resources/OneDigital 4860 College Blvd.

Overland Park, KS 66211

BROKER DEALER/RIA Resources Investment Advisors

MISSION STATEMENT To help as many people to and through retirement as possible

BIOGRAPHY

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Vincent is founder and president of Bukaty Companies Financial Services, a division of Bukaty Companies Employee Benefits. He oversees a staff of 29 team members with almost $2 billion in total retirement plan and wealth management assets. He has experience in plan management, fiduciary issues and as a small business owner, he understands what the majority of business owners are facing in an everchanging world of benefits. He has an economics degree from University of Kansas and currently owns four companies that provide support to the retirement and investment industry.

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CARRIE OHM NAPA CPFA™

VP Advisor Development Resources Investment Advisors 4860 College Blvd., Suite 100 Overland Park, KS 66211

BROKER DEALER/RIA Resources Investment Advisors

MISSION STATEMENT We exist to help as many people to and through retirement as possible.

Resources Investment Advisors is a group of advisors sharing resources to the benefit of our clients.

BIOGRAPHY As the VP of Advisor Development, Carrie focuses on the growth of Resources on a national basis. Prior to joining Resources, she spent the first part of her career in financial services as an adviser recruiter for an independent broker-dealer. Twelve years later, Carrie moved to the RIA channel, seeking a platform with more flexibility, higher earning power and less red tape for advisors who act in the best interests of their clients. There, she discovered her passion for retirement plan consulting, where advisors have the opportunity to impact the health of businesses, plan sponsors and especially participants. “Our work with participants allows the average American worker, who might not otherwise have access to personalized resources, to increase their financial literacy and reduce financial stress,” she believes. Carrie graduated from the Personal Financial Planning program at Kansas State University. She serves on the board of the Financial Planning Association of Greater Kansas City as well as the K-State PFP Alumni Board. She enjoys speaking to groups about careers in financial services and volunteering in the community through Junior Achievement. When she’s not traveling to conferences or to meet with advisors, Carrie enjoys spending time with her husband and two sons.

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JOHN PETERS AIF® • CFP®

Manager, Marketing Commonwealth Financial 495 Grand Blvd., Suite 206 Miramar Beach, FL 32550

BROKER DEALER/RIA Commonwealth Financial Network

MISSION STATEMENT I am committed to helping advisors discover their goals for their life and practice and helping them design and implement solutions to meet those goals.

BIOGRAPHY

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John joined Commonwealth in March 2011 as a business development consultant. In this role he consults with advisors on business development, product options, sales strategies, competitive positioning and best practices related to building a successful retirement book of business. He also assists advisors and home office personnel with transition and compliance and responds to technical support questions on retirement-related topics.

Prior to joining Commonwealth, John worked at a leading retirement advisory practice, where he was actively involved in sales/marketing and client service to plan sponsors nationwide. He was also recognized as one of the “Top 300 Most Influential Advisors in Defined Contribution” by 401kWire in 2009 and 2010. Prior to that, he worked at a subsidiary of the Bank of New York/Mellon, Vice President of Alex Brown and Sons Incorporated.

John holds FINRA series 7, 63, 65 securities registrations and CFP® and AIF® designations. John is a graduate of Emory University in Atlanta, GA.

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ALEX PETRENKO QPA

SVP, Retirement Plan Consulting Cetera Financial Group 2125 Oak Grove, No. 105 Walnut Creek, CA 93402

BROKER DEALER/RIA Cetera Financial Group

MISSION STATEMENT Through simplified solutions and holistic support, Cetera Retirement Plan Solutions makes retirement plan business easy for financial advisors who are focused on delivering retirement security to America’s businesses and their employees

BIOGRAPHY Alex serves as Senior Vice President of Retirement Plan Consulting for Cetera Retirement Plan Specialists. He assists companies in their efforts to design and implement custom retirement plans, driven by business objectives, benefit and regulatory trends, and market developments.

In addition to performing retirement plan consulting, he researches complex retirement plan issues, provides continuing education, and supports marketing and business development efforts.

Prior to joining Cetera Retirement Plan Specialists, he assisted smallbusiness owners in the creation of personal financial and employee benefit plan strategies. Alex is a member of NAPA, a credentialed member of the American Society of Pension Professionals and Actuaries (ASPPA), and a recipient of the 2010 Martin Rosenberg Academic Achievement Award. He earned BA and MA degrees in philology from the St. Petersburg University of Humanities and Social Sciences in Russia.

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STEVE RATAJ

AIFÂŽ

Retirement Plans Product Manager Wells Fargo Advisors 1 North Jefferson Ave St. Louis, MO 63103

BROKER DEALER/RIA Wells Fargo Advisors

MISSION STATEMENT We help accumulate retirement assets for our clients by implementing successful employer retirement plans and Individual Retirement Accounts that allow clients to have the flexibility to design their own retirement. We do this by providing consultative services for our advisors who have business owner clients and by providing technical expertise and guidance on plan design, fiduciary oversight, product solution alternatives, and overall best practices.

BIOGRAPHY 250

Steve is a Product Manager for the Retirement Product Consulting team at Wells Fargo Advisors. He provides financial advisors and business owner clients with technical support for retirement plans and IRAs. He also provides customized plan design for new retirement plans and enhancements for existing plans. Prior to working for Wells Fargo Advisors, he worked for a Third Party Administrator for 13 years in various roles, including Director of Operations. Steve has received the Qualified 401(k) Administrator (QKA) designation from the American Society of Pension Professionals & Actuaries (ASPPA), the Accredited Investment Fiduciary (AIF) designation from Fi360, and also has Series 7, 66, and 24 registrations.

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DAVID REICH AIF®

President, Retirement Services HUB International 9855 Scranton Rd., Suite 100 San Diego, CA 92121

BROKER DEALER/RIA HUB International

MISSION STATEMENT We’re committed to helping more American workers better prepare to retire with dignity.

BIOGRAPHY David is the National President of Retirement Services for HUB International, where he is responsible for growing HUB’s Employer Plan business. Prior to joining HUB, David served as EVP and Head of The Retirement Partners Group, High Net Worth Organization, The Private Trust Company, and Chairman of Trust Board at LPL Financial. Prior to joining LPL, he held various positions of increasing responsibility with American Express, American Express Financial Advisors and Ameriprise Financial. David holds an MBA and is a Park Leadership Fellow at Cornell’s Johnson School of Management, and he earned a BS in Finance from the University of Maryland. David resides in San Diego, CA with his wife Courtney and their six children.

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CRAIG REID

NAPA CPFA™ • CFP® • NQPA

President MMA Securities 7015 College Blvd., Suite 400 Overland Park, KS 66211

BROKER DEALER/RIA MMA Securities, LLC

MISSION STATEMENT Making a difference in the moments that matter for our colleagues, clients, and communities.

BIOGRAPHY As President and National Practice Leader, I have the distinct pleasure of leading a multi-office national consulting practice through identifying short- and long-term strategies aimed at establishing Marsh & McLennan Agency as a leading retirement plan advisory organization. I have been in the financial services industry for 10 years, more than 6 years focused on employer-sponsored retirement plans. I currently hold four industry designations and multiple securities and insurance licenses.

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PATRICK RIECK NAPA CPFA™ • QPA

VP Product, Retirement and Private Wealth HUB International 2514 E. Shorewood Blvd.

Shorewood, WI 53211

BROKER DEALER/RIA HUB International

MISSION STATEMENT We exist to help Americans Choose Their Day. We do this by striving to be the premier institutional investment consulting and private wealth firm that consciously leads others on a sound financial path. We strive to make an impact on the lives of our team members, clients and the communities in which they serve.

BIOGRAPHY Patrick has been in the Retirement Services industry since 1984. He began his career at Emjay Corporation (currently Empower Retirement) in Milwaukee, WI in a variety of roles including Senior Pension Consultant.

Patrick relocated to Baltimore, MD to work with Legg Mason as Director of Retirement Account Services in January 2000. He joined Citi Smith Barney as the National Retirement Sales Director during the Legg Mason Wood Walker acquisition in November 2005. Following the formation of the Morgan Stanley Smith Barney joint venture in 2009, Patrick held roles in sales and product management of qualified and non-qualified retirement plans, completing his tenure there as Head of Corporate Retirement. After providing independent management consulting services to retirement industry organizations, Patrick joined HUB International in 2019 and is currently Vice President of Product for its Retirement and Private Wealth Team. He holds the QPA, QKA, and CPFA professional designations awarded by the American Retirement Association.

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ADAM SOKOLIC AIF®

Chief Operating Officer HUB International 5023 Summit Street Kansas City, MO 64112

BROKER DEALER/RIA HUB International

MISSION STATEMENT We exist to help Americans Choose Their Day. We do this by striving to be the premier institutional investment consulting and private wealth firm that consciously leads others on a sound financial path. We strive to make an impact on the lives of our team members, clients and the communities in which they serve.

BIOGRAPHY

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Adam is Chief Operating Officer, Retirement & Private Wealth for HUB International. He has spent the last 20+ years leading both small and large organizations through transformative product & platform development. Prior to joining HUB International, Adam was the COO and a Founding Partner of the Wise Rhino Group, where he focused on the operational aspects of mergers and acquisitions for retirement plan consultants and the surrounding eco system. This was after leaving American Century Investments, where he served as Senior Vice President of Retirement and Head of Client Marketing and was a senior member of the Americas Distribution Team where he lead retirement strategy and client marketing. Adam holds a Bachelor of Science degree in Accounting from Pennsylvania State University. He also holds the NASD Series 7, Series 6 and Series 63 licenses along with the AIF® and PPC® designations.

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PETE SWISHER CFP® • CPC • QPA

President Waypoint Fiduciary, LLC 1620 Hedden Road Versailles, KY 40383

MISSION STATEMENT Think tank, consultancy, and fiduciary expert for the U.S. retirement system

BIOGRAPHY Pete is the founder and president of Waypoint Fiduciary LLC, a consultancy specializing in pooled employer plans (PEPs), multiple employer plans (MEPs), and shaping the institutional fiduciaries of the future. He is one of the nation’s leading authorities on group retirement programs, including PEPs, MEPs, group trusts, and “groups of plans,” and all aspects of retirement plan governance, including the ERISA trustee, named fiduciary, and Section 3(16) plan administrator roles. His 20+ years of service as a financial advisor, consultant, subject matter expert, government affairs leader, top-producing salesperson, sales executive, and brand-builder give him a unique balance of knowledge and experience about how retirement systems succeed from both a fiduciary and legal perspective as well as from a business perspective.

He graduated with a degree in Linguistics from the University of Virginia, where he was selected for the prestigious Echols Scholar program. He served in the first Gulf War as Executive Officer of a U.S. Marine infantry company. He lives with his wife, Shannon, in the horse country of Central Kentucky, and can be reached at pete.swisher@waypointfiduciary.com.

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PHIL TROYER CCO Resources Investment Advisors 4860 College Blvd., Suite 100 Overland Park, KS 66211

BROKER DEALER/RIA Resources Investment Advisors

MISSION STATEMENT Founded in 1987, Resources Investment Advisors has grown from a small, regional investment adviser to one of the nation’s leading retirement plan adviser aggregators, with affiliate offices around the country. We operate as a co-op to provide services and best practices to our affiliated independent financial services firms. Our purpose is to provide our advisers with the compliance, ERISA and investment guidance they need, while also leveraging our size and combined experience to ensure they have access to the best ideas, products, technology and pricing for their clients.

BIOGRAPHY 256

After obtaining a BS in Political Science from DePauw University, Phil moved to Capitol Hill to accept a position as Legislative Assistant to Rep. Dan Coats (R-IN) and followed him to the Senate as Deputy Press Secretary. He returned to Indiana to manage a district office for Sens.

Coats and Lugar but resigned to run for Congress in 1990. (He ran again in 1992 and 2010.) During this time, Phil also was one of the original contributors to the Indiana Policy Review Foundation, whose founders included Vice President Mike Pence. He attained his JD from Indiana University in 1994 and served as General Counsel to NRP Advisors and NRP Financial, an RIA and broker-dealer owned by National Retirement Partners. Upon the sale of NRP, Phil established an ERISA law practice.

He moved to Kansas in 2013 to accept a position as VP of Compliance for Bukaty Companies Financial Services and CCO of Resources Investment Advisors. Since he joined the firm, Resources has become an aggregator for other retirement plan advisers, and its AUM has grown from $1.6 billion to more than $6 billion.

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OFFICE

ADELINE WONG AIF®

VP, Fiduciary Programs Cetera Financial Group 655 W. Broadway, 12th Floor San Diego, CA 92101

BROKER DEALER/RIA Cetera Financial Group

MISSION STATEMENT Empower advisors and institutions with industry-leading service, tools and platforms to be the trusted guide of their clients’ financial future.

BIOGRAPHY Adeline is accountable for all retirement plan fiduciary programs, technology vendor relationships, and RK product management across the six Cetera affiliated broker/dealers and RIAs. In addition, she is responsible for RP platform/product management, as well as a key contributor to retirement strategy, regulatory, and compliance efforts, incorporating the voice of the retirement plan advisors to ensure their perspective is included in any implementation. In this role, she is also an escalation point with respect to advisors with complex questions and/or situations.

Adeline has over 20 years of retirement plan experience. She is FINRA Series 6, 7, 63, and 24 registered, and has also earned the AIF® designation.

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ALLIANCE BERNSTEIN alliancebernstein.com

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Jennifer DeLong

Kyle DiGangi

SVP, Head of Defined Contribution E: jennifer.delong@alliancebernstein.com P: 212.969.6689

VP, CCO (US Asset Management) E: kyle.digangi@alliancebernstein.com P: 212.969.2388

Greg Handrahan

Lou Sideropoulos

Institutional Retirement Specialist E: gregory.handrahan@alliancebernstein.com P: 312.888.5377

Managing Director, Strategic Relations Group E: lou.sideropoulos@alliancebernstein.com P: 617.645.6568

Mark Manley

MJ Zayac

Deputy General Counsel & Chief Compliance Officer E: mark.manley@alliancebernstein.com

Director, Defined Contribution E: martin.zayac@alliancebernstein.com

At AllianceBernstein (AB), we’re working to define the future of Defined Contribution, striving to keep clients ahead with visionary research and progressive innovation in investment solutions. Our insight stems from decades of experience in designing asset-allocation strategies and managing portfolios for individuals and institutions globally.

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BUILD ASSET MANAGEMENT, LLC getbuilding.com

Tom Bakamus

Matt Cawley

Regional Director E: tbakamus@getbuilding.com P: 425.507.7240

Regional Director E: mcawley@getbuilding.com P: 303.870.7280

Michael Jones

Jeff Lozier

Regional Director E: mjones@getbuilding.com P: 918.284.8642

Director, National Sales E: jeff@getbuilding.com P: 913.638.5196

David Murphy

Paul Villanueva

Regional Director E: dmurphy8330@gmail.com P: 816.309.4435

Regional Director E: pvillanueva@getbuilding.com P: 832.859.2488

Inventors of a new asset class, Indexed Risk Control. It’s time to rethink risk/reward and start building a better portfolio together.

259

SPONSORS

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CAPITAL GROUP | AMERICAN FUNDS capitalgroup.com

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Reagan Anderson

Jason Bortz

Senior Vice President of Government Relations E: rgma@capgroup.com

Senior Counsel E: jkkb@capgroup.com

Mark Dence

John Doyle

Senior National Accounts Manager E: mrad@capgroup.com

Senior Retirement Strategist E: jhjd@capgroup.com

Brendan Mahoney Sales Director, Retirement E: bttm@capgroup.com

Capital Group, home of American Funds, has become a leader in defined contribution by managing our funds the same way most people invest for retirement—with a long-term perspective and careful attention to risk. Defined contribution plans rely on our low cost investment and recordkeeping solutions to help them meet their fiduciary requirements.

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EMPOWER INSTITUTIONAL empower-retirement.com

Robert Holcomb

Dawn Hotop

Vice President Legislative and Regulatory Affairs E: robert.holcomb@empower-retirement.com P: 913.664.0876

Premier Partner Consultant E: dawn.hotop@empower-retirement.com P: 303.737.3604

Christopher Johnson

Frank Porter

Consultant Relations Director E: christopher.johnson@empower-retirement.com P: 636.778.9384

Head of Institutional Business Development E: f.porter@retirementpartner.com P: 303.737.6748

Kerra Schroeder National Account Director-Broker Dealer E: kerra.schroeder@empower-retirement.com P: 858.964.8446

At Empower our singular focus is on helping people replace—for life— the income they made while working. As the second largest provider of retirement savings plans in the U.S. with more than 9.4 million participants, our innovative approach to retirement savings has proven to get results for plan sponsors and participants alike.

261

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FRANKLIN TEMPLETON franklintempleton.com

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Yaqub Ahmed

Drew Carrington

Head of Investment-Only Division, US E: yaqub.ahmed@franklintempleton.com P: 727.299.7009

SVP-Head of Institutional DCIO E: drew.carrington@franklintempleton.com P: 650.312.4396

Matt Foster

Craig Miller

National Retirement Consultant E: Matt.Foster@franklintempleton.com P: 346.257.5693

Strategic Account Manager E: Craig.Miller@franklintempleton.com P: 727.220.9471

Kevin Murphy

Diane Rzepecki

Head of DC Strategic Accounts E: kevin.murphy@franklintempleton.com P: 201.401.6491

Senior Strategic Account Manager E: Diane.Rzepecki@franklintempleton.com P: 617.697.6932

Franklin Templeton is dedicated to one goal: delivering better client outcomes. We leverage our extensive global resources and expertise to stay ahead of the evolving retirement industry and provide innovative solutions. We manage over $187 billion* in U.S. retirement accounts and strive to address the unique needs of today’s workforce. *As of May 31, 2020

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INVESCO invesco.com

Greg Jenkins

Christine Kaposztas

Head of Institutional DC E: greg.jenkins@invesco.com P: 972.679.0303

Segment Marketing Director - Retail Retirement E: christine.kaposztas@invesco.com P: 813.786.2416

Bill Schories

Paul Temple

National Sales Director – DCIO E: william.schories@invesco.com P: 732.739.1471

Head of Retail Retirement E: paul.temple@invesco.com P: 212.323.5119

Vincent Vermette

Teresa Ward

Senior Director E: vincent.vermette@invesco.com P: 917.751.1309

Director, Retirement Programs E: teresa.ward@invesco.com P: 212.323.0433

Invesco is a DC investment partner managing $123 billion* in DC assets.

Backed by Invesco Ltd. with $1.1 trillion* in AUM, we offer our Circle of Action framework to help plan sponsors and intermediaries achieve optimized outcomes by making decisions around Investment Strategy, Plan Design, Participant Engagement and Plan Governance. *Invesco. Data as of March 31, 2020. Total AUM figure includes all assets under advisement, distributed and overseen by Invesco Ltd.

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JOHN HANCOCK johnhancock.com

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Abigail Benham

Bonnie Deodat Hamilton

VP, National Accounts E: abigail_benham@Jhancock.com P: 860.614.5989

AVP, Advisor Experience E: bonnie_deodat@jhancock.com P: 416.960.3404

John Kinsley

Rhiannon Rail

National Account Manager E: jkinsley@jhancock.com P: 617.835.4555

AVP Participant Solutions E: rhiannon_rail@jhancock.com P: 416.926.5290

Gary Tankersley Head of Sales & Distribution E: tank@jhancock.com P: 303.809.5764

Helping employees save for retirement for 50 years, John Hancock is one of the largest full-service providers of defined contribution, defined benefit, nonqualified, and Taft-Hartley plans. Our consultative approach ensures your plan is easy to manage, personal to the participant, and delivers proven results. We make retirement plans work.

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LPL RETIREMENT PARTNERS lpl.com

Ted Hageman

Bryan Hodgens

VP, Retirement Partners E: ted.hageman@lpl.com P: 858.779.5509

SVP, Retirement Partners E: bryan.hodgens@lpl.com P: 980.264.8539

Emily White VP, Retirement Partners E: emily.white@lpl.com P: 858.779.5733

LPL Financial is a leader in the retail financial advice market and the nation’s largest independent broker-dealer. LPL supports retirement plan advisors through its integrated business platform and its Retirement Partners team of retirement industry professionals. LPL Retirement Partners acts as an independent consultant and supports the operational and practice management needs of retirement plan advisors. Advisors can position themselves with confidence as a discretionary or nondiscretionary investment fiduciary to their clients, offering them objective guidance on investment options while seeking to increase their marketing reach and strategically grow their practices through the power and commitment of LPL Retirement Partners.

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PUTNAM INVESTMENTS putnam.com

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Angela Achatz

Michael Dullaghan

Director, DCIO Strategic Relationships E: Angela_Achatz@putnam.com P: 617.760.5178

DC Investment Specialist E: Michael_Dullaghan@putnam.com P: 540.354.3638

Rob Glass

Steve McKay

DCIO Key Account Manager E: Rob_Glass@putnam.com P: 617.760.8083

Head of DC Investment Only E: Steven_McKay@putnam.com P: 617.760.4838

Patrick Scanlon

Stacy Zenger

DCIO Key Account Manager E: Patrick_Scanlon@putnam.com P: 617.760.5615

DCIO Sr. Key Account Manager E: Stacy_Zenger@putnam.com P: 913.951.1485

Putnam is a global asset manager, incepted in 1937, managing assets for a broad range of global clients including endowments, foundations, retirement plans, and sovereign entities. As of June 30, 2020, the firm managed $169 billion* in assets, $85 billion of which comprises institutional investor assets across fixed income, equity, global asset allocation, and alternative investment strategies. *Total assets are preliminary and are unaudited and subject to change.

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STATE STREET GLOBAL ADVISORS ssga.com

Heather Bailey

Dan Cahill

VP Retirement DIrector E: heather_bailey@ssga.com P: 617.678.9991

Account Executive E: Daniel_Cahill@ssga.com P: 617.664.0263

Alex McCarthy

Ned McNally

Account Executive E: mccarthyalex1@gmail.com P: 978.500.5771

Senior Retirement Director E: ned_mcnally@ssga.com P: 312.391.2595

Greg Porteous Head of DC Intermediary E: gregory_porteous@ssga.com P: 617.880.9402

State Street Global Advisors serves governments, institutions and financial advisors with a rigorous approach, breadth of capabilities and belief that good stewardship is good investing for the long term.

Pioneers in index, ETF, and ESG investing and the world’s third-largest asset manager, we are always inventing new ways to invest.

267

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T. ROWE PRICE troweprice.com

268

Chris Augelli

Cheri Belski

VP, Head of Retirement Channel Marketing E: chris.augelli@troweprice.com P: 410.345.4601

Head of Retirement E: cheri.belski@troweprice.com P: 410.345.3848

Kevin Collins

Michael Doshier

Head of Retirement Plan Services E: kevin.collins@troweprice.com P: 410.345.6740

Sr DC Advisor Strategist E: michael.doshier@troweprice.com P: 508.259.4430

T. Rowe Price, a global investment management organization with $1.21 T in AUM*, offers financial advisors an exceptional combination of investment management excellence, world-class service and guidance, built upon a heritage of integrity. We differentiate ourselves from competitors through style consistency and a steadfast focus on risk as well as returns. *As of December 31, 2019.

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TRANSAMERICA transamerica.com

Jim Bohrman

Tom Briggs

Consultant Relations E: james.bohrman@transamerica.com P: 845.546.6773

Divisional Vice President E: tom.briggs@transamerica.com P: 303.882.5267

Robert Goldman

Charmaine Hughes Lee

National Sales Manager E: robert.goldman@transamerica.com P: 203.470.8917

National Director, Business Development E: charmaine.hughes@transamerica.com P: 414.870.8156

Deborah (Deb) Rubin

Darren Zino

VP, Managing Director E: deb.rubin@transamerica.com P: 443.386.8204

VP Managing Dir US Retirement Sales E: darren.zino@transamerica.com P: 704.231.7129

Transamerica is changing the way people think about their financial and overall well-being. We inspire people to see their spending, earning, and saving in a whole new way, so they can add more years to their lives and more life to their years. Transamerica strong for over 100 years!

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FixYourName.com Fluent Technologies Fortecy Franklin Templeton Fulcrum Partners, LLC Galliard Capital Management German American Wealth Advisory Group Gladstone Group Inc Global Retirement Partners Goldman Sachs Asset Management, LLC Gordon Asset Management, LLC Green Retirement, Inc. Greenspring Advisors GSM Marketing, LLC GROUPIRA Guardian Wealth Partners GuidedChoice Hartford Funds Hauser Retirement Solutions, LLC HealthEquity, Inc. HighTower Advisors HSA Bank HUB International Human Interest Hurlow Wealth Management Group, Inc. ICMA-RC-Vantagepoint Funds Independent Financial Partners Insight Financial Partners, LLC Institutional Investment Consulting Integrated Retirement Initiatives intellicents Invest Titan Invesco IRON Financial ISS Market Intelligence Ivy Investments J.P. Morgan Asset Management Janus Henderson Investors John Hancock Investments John Hancock Retirement Plan Services Judy Diamond Associates (ALM) July Business Services Karp Capital Management KerberRose Retirement Plan Services Kestra Financial LAMCO Advisory Services Latus Group, Ltd. Lazard Asset Management LeafHouse Financial Advisors Lee CPA Audit Group

Legacy Retirement Solutions, LLC Legg Mason & Co. LLC LifeYield, LLC Lincoln Financial Group Lockton Financial Partners, LLC Lord Abbett LPL Financial LSV Asset Management M Financial Group Macquarie Investment Management Marietta Wealth Management Mariner Retirement Advisors Marsh & McLennan MassMutual Retirement Services Matrix Financial Solutions Mayflower Advisors, LLC MCF Advisors Mentoro Group, LLC Mesirow Financial MFS Investment Management Company Millennium Trust Company, LLC Milliman Minich MacGregor Wealth Management Morgan Stanley Morley Capital Management, Inc. Morningstar, Inc. MPI (Markov Processes International) Multnomah Group, Inc. Murray Securus Wealth Management Mutual of Omaha Retirement Services Nashional Financial Nationwide Financial Natixis Investment Managers Neuberger Berman New York Life Investment Management, LLC Newport Group NFP Corp Nicklas Financial Companies North American KTRADE Alliance Northwest Retirement Plan Consultants NPPG Fiduciary Services, LLC Nuveen Investments October Three OneAmerica OppenheimerFunds PAi Paychex, Inc. PCS Retirement

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RiXtrema, Inc. Rogers Wealth Group, Inc. Roush Investment Group RPS Retirement Plan Advisors RPSS SageView Advisory Group Schlosser, Fleming, & Associates LTD Schneider Downs Wealth Management Advisors, L.P. Schwartz Investment Counsel, Inc. Securian Retirement Shea & McMurdie Financial Shepherd Financial, LLC Sierra Pacific Financial Advisors, LLC Smith Bruer Advisors Soltis Investment Advisors

Stolzer Rothschild Levy LLC Spectrum Investment Advisors Stadion Money Management State Street Global Advisors Steadfast Financial Solutions Stifel Stiles Financial Services, Inc. StratWealth Streamline Partners Sway Research, LLC T. Rowe Price TAO Investments Hawaii Taylor Wealth Solutions Teros Advisors The Entrust Group The Pangburn Group The Standard The Waterford Group Thornburg Investment Management Three Bell Capital LLC TIAA Touchstone Retirement Group Transamerica TRAU Trinity Advisors Trutina Financial Twelve Points Retirement Advisors Ubiquity Retirement + Savings UBS Financial Services Unified Trust Company Vanguard Vestwell Victory Capital Virtus Investment Partners Vita Planning Group VOYA Financial vWise, Inc. Wells Fargo Advisors Westminster Consulting WhaleRock Point Partners Wilmington Trust Wilshire Associates Wintrust Wealth Management Wipfli Hewins Investment Advisors, LLC ZUNA, LLC *As of July 10, 2020

Consultative Easy Personal Proven Ranked #1 in online enrollment experience.1 Our nearly 50 years of experience have taught us there is no single formula for success. That’s why we combine a financial wellness approach with a data-driven participant experience to help provide a personalized path to a more confident retirement. We don’t just make retirement plans.

We make retirement plans work. retirement.johnhancock.com

1 “Dalbar’s State of the Industry—Online Enrollment,” DALBAR, Inc., January 2018.

John Hancock Retirement Plan Services, Boston, MA 02116.

NOT FDIC INSURED. MAY LOSE VALUE. NOT BANK GUARANTEED. MGTS-PS39371-GE 05/19-39371 MGR050119490741 | 20707

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