NAPA D.C. Fly-In Forum 2021 Registry

2021 SPEAKERS

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Alexander Assaley III AIF®

President | National Association of Plan Advisors

THANK YOU! As a NAPA DC Fly-In Forum delegate, you are the best of the best among retirement advisors. Your commitment to the success of the nation’s retirement is evidenced by your support of NAPA and your presence with us at this ninth NAPA DC Fly-In Forum. Your voice — representing the plan sponsors and employees you support, and as part of the collective voice Fly-In Forum Delegates represent — comes at a critical juncture in the legislative and regulatory development of these programs. While circumstances prevent us from doing so in person this year, the issues — ranging from a new fiduciary rule, to developments regarding ESG considerations, from cybersecurity, to the prospects of a SECURE 2.0 — loom larger than ever. Your experience, expertise and insights are vital in informing the final version(s) of these initiatives.

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As President of the National Association of Plan Advisors (NAPA), I want to assure you that both your presence — and contributions — matter, perhaps now more than ever.

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 head toward the 2022 mid-terms, I trust you’ll walk away from this experience prepared, 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 sponsors and participants, our voice can influence and shape regulation and legislation and positively affect the retirement outcomes of millions of America’s workers.

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 ninth annual NAPA DC Fly-in Forum!

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John Abeyta CRPS®

Chairman | 2021 NAPA D.C. Fly-In Forum

On behalf of the 2021 NAPA DC Fly-In Forum steering committee, I’d like to welcome you to the 2021 NAPA DC Fly-In Forum – Virtual Edition!

Who could have imagined how we’d all spend the past 16 months, or how it would impact our firms, our families, our very lives – and those we support in the preparations for retirement. Indeed, while the environment once again prevents us from gathering together physically, it 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 Ninth Annual NAPA DC 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 – both individually, and as a collective voice – can sharpen and magnify those concerns in a way that our representatives in Washington need to understand and appreciate.

Together we directly support some: • 15,000 plans • $300 billion in retirement plan assets • More than 5 million participants In this environment, your NAPA DC 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 and discuss the issues with lawmakers.

On Day 1, you will hear from some of the nation’s foremost legislative and regulatory authorities on topics ranging from the fiduciary regulation to cybersecurity. You’ll hear from the sponsors of, and advocates for, groundbreaking legislation that can dramatically move the needle on coverage and extending retirement security to the underserved. Along the way, you’ll have an opportunity to get some “inside” insights on the practice of lobbying and walk away with information and insights you can’t get anywhere else.

On Day 2, you’ll have an opportunity to meet virtually with legislators and their staff and to share your perspectives, ideas and concerns, based on your frontline experiences working with retirement plans, plan sponsors and participants.

Whether you’ve done this a dozen times or this is your first time – this is an amazing opportunity.

As delegates to the NAPA DC 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!

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Helping your clients plan for the future in a now world

L E A R N M O R E AT

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Agenda Speakers Advisors Home Office Sponsors NAPA Firm Partners

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2021 NAPA DC Fly-In Agenda All Times Are Eastern Standard Time (EST)

Tuesday, July 27 12:00 – 12:30 p.m.

WELCOME Brian Graff and NAPA President Alex Assaley THE CHAIRMAN’S PRIORITIES FOR AMERICA’S RETIREMENT Chairman of the Senate Finance Committee, Senator Ron Wyden (D-OR) has ideas for retirement policies REGULATORY RADAR: WHAT’S ON THE DEPARTMENT OF LABOR’S RADAR? Ali Khawar, Acting Assistant Secretary, Employee Benefits Security Administration, Dept. of Labor 12:45 – 1:35 p.m.

RETIRING “MINDS”: CURRENT RETIREMENT PROPOSALS ON CAPITOL HILL SUPER PANEL Capitol Hill Committee Staff panel discuss current legislative proposals including Secure 2.0, the Automatic Retirement Plan Act & Saver’s Match, and more • Kara Getz, Chief Counsel at U.S. House of Representatives Committee on Ways & Means (Majority) • Payson Peabody, Tax Counsel at U.S. House Committee on Ways & Mean (Minority) • Drew Crouch, Senior Tax and ERISA Counsel at Senate Finance Committee (Majority) • Jamie Cummins, Tax Counsel at United States Senate Committee on Finance (Minority) 1:45 – 2:45 p.m.

“COMMON” GROUNDS: RETIREMENT PRIORITIES FOR THE 21ST CENTURY Senator Rob Portman (R-OH): Hear from a leader in retirement policy on Capitol Hill, author of the landmark Pension Protection Act, and Senate Finance Committee member on his 2021 priorities HOUSE “CALL”: RETIREMENT SECURITY FOR ALL AMERICANS Congresswoman Linda T. Sánchez (D-CA, 38th), Member of the House Committee on Ways and Means outlines her plans to address retirement challenges

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

3:00 – 4:30 p.m.

ALL THINGS FIDUCIARY A Conversation with Timothy D. Hauser, Deputy Assistant Secretary for National Office Operations, Employee Benefits Security Administration, Department of Labor, hosted by ARA CEO Brian Graff EMERGENCY “ROOM”: EMERGENCY SAVINGS TO REDUCE LEAKAGE AND SECURE RETIREMENT ASSETS Senator James Lankford (R-OK), Member of the Senate Committee on Finance ALL “CALL”: RETIREMENT SAVINGS FOR ALL Teresa Ghilarducci, Professor of economics at New School for Social Research, shares a plan for addressing the coverage gap WRAP-UP AND CLOSING REMARKS with NAPA DC Fly-In 2021 Committee Chair John Abeyta 4:30 – 5:00 p.m.

HILL VISIT LOGISTIC AND BREAKOUT ROOMS What to expect for Capitol Hill Meetings: Join for an opportunity to connect with other members in your meeting on messaging

Wednesday, July 28 10:00 a.m.

WATCH PARTY: BUILDING ON BIPARTISAN RETIREMENT LEGISLATION: HOW CAN CONGRESS CAN HELP? Join the ARA GAC Team who will chat and engage in a real-time Q&A during NAPA Executive Director and ARA CEO Brian Graff’s testimony before the Senate Finance Committee on how congress can help building on bipartisan retirement legislation.

12:00 – 12:30 p.m.

KICKOFF AND WHAT TO EXPECT – with Alisa Wolking and Andrew Remo Join for overview and Q&A on talking points 12:45 - 4:00 p.m.

VIRTUAL MEETINGS ON CAPITOL HILL

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Nevin E. Adams, JD Chief Content Officer American Retirement Association

Nevin Adams is Chief Content Officer for the American Retirement Association, where he is responsible for the media business of the association, including the development and deployment of all association media (e.g., websites, newsletters, print and digital publications), including stewardship of social media accounts and media relations for its sister organizations, ASPPA, the American Society of Pension Professionals and Actuaries, the National Association of Plan Advisors (NAPA), the ASPPA College of Pension Actuaries (ACOPA), the National Tax-Deferred Savings Association (NTSA), and the Plan Sponsor Council of America (PSCA). He is also a trustee of the Employee Benefits Research Institute, and serves on the organization’s Executive Committee.

Previously he was the Employee Benefits Research Institute’s Director of Education and External Relations, Co-Director of EBRI’s Center for Research on Retirement Income and Director of the American Savings Education Council, and prior to that spent a dozen years as Global Editor-in-Chief of PLANSPONSOR magazine and PLANSPONSOR.com, as well as PLANADVISER and PLANSPONSOR Europe magazines. He was the originator, creator, writer and publisher of PLANSPONSOR.com’s NewsDash. He began his retirement services career at Northern Trust in Chicago, where he later served in a variety of management roles, culminating in the development of a proprietary recordkeeping platform, and at Wachovia Bank, leading their defined contribution/recordkeeping businesses.

He has been honored three times by the National Association of Government Defined Contribution Administrators (NAGDCA) with their Media Recognition Award (in 2002, 2004 and 2013), and has regularly been noted as one of the Most Influential People in Defined Contribution by the 401kWire. He graduated summa cum laude with a BS in Finance from DePaul University in Chicago, Illinois and after a number of years working with retirement plans, also received his JD from DePaul University.

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Drew Crouch Senior Tax and ERISA Counsel Senate Finance Committee (Majority)

Drew Crouch is Senior Tax and ERISA Counsel for the Democratic staff for the Senate Finance Committee. Drew’s policy areas at the Finance Committee include retirement and health plans, as well as executive compensation. Prior to joining the Finance Committee staff, Drew worked at the Treasury Department on multiemployer pension plan funding issues, and prior to that served as ERISA Counsel for the Democratic staff for the Committee on Ways and Means and the Joint Committee on Taxation. Drew also has private sector ERISA experience and worked on retirement plan regulations while employed by the IRS’s Office of Chief Counsel.

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Jamie Cummins Tax Counsel United States Senate Committee on Finance (Minority)

Jamie Cummins serves as Tax Counsel to Senate Finance Committee Ranking Member Mike Crapo (R-ID). He advises the Ranking Member on tax issues relating to retirement, charitable giving, exempt organizations, health care, and estate, gift, and generation skipping tax. Jamie previously served as Tax Counsel to former Senate Finance Committee Chairman Chuck Grassley (R-IA) and as a Legislative Assistant to Senator Bill Cassidy, M.D. (R-LA).

Jamie is a graduate of Louisiana State University and received his J.D. from Tulane University Law School and LL.M. in Taxation from New York University Law School.

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Elizabeth Duda Government Affairs Committee Manager American Retirement Association

Elizabeth Duda is the Government Affairs Committee Manager for the American Retirement Association (ARA), which educates and informs retirement benefits professionals and advocates for policies that give every working American the ability to have a comfortable retirement. In her role, Elizabeth facilitates the majority of the government affairs committee’s activities for the ARA and its member organizations, which include the American Society of Pension Professionals and Actuaries (ASPPA), the American Society of Enrolled Actuaries (ASEA), the National Association of Plan Advisors (NAPA), the National Taxdeferred Savings Association (NTSA), and the Plan Sponsor Council of America (PSCA). In addition, she manages NAPA D.C. Fly-In meetings for constituents and grassroots campaigns. Before joining the ARA in January 2013, Elizabeth worked as a Senior Level Administrative Assistant at AECOM, supporting several executives in the engineering services. She has also interned for the European Union Delegation to the United States, focusing on foreign affairs and equal opportunity at the Office of Equal Opportunity, Fashion, and Tourism for the Municipal Office of Florence, Italy.

Elizabeth has a Master of Arts in Political Science, European Union Policy, and a Bachelor of Arts in International Relations and Modern Foreign Languages from James Madison University.

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Kara Getz Chief Counsel U.S. House of Representatives Committee on Ways & Means

Kara Getz is Chief Counsel for Ways & Means Chairman Richard E. Neal. Prior to joining Ways & Means, Kara was Senior Tax Counsel for the Senate Finance Committee and Tax Counsel and Legislative Director for Congressman Neal.

Kara also worked as Chief Counsel for the Senate Special Committee on Aging and Tax Counsel for Senator Gordon Smith. Her private sector experience includes working as the Director of Congressional Affairs for ASPPA and as a Senior Manager in the National Compensation and Benefits Group of Ernst & Young LLP’s Human Capital practice.

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Teresa Ghilarducci Labor Economist

Teresa Ghilarducci is a labor economist and nationally-recognized expert in retirement security. She is the Bernard L. and Irene Schwartz professor of economics at The New School for Social Research and the Director of the Schwartz Center for Economic Policy Analysis (SCEPA) and The New School’s Retirement Equity Lab (ReLab).

As a labor economist, Teresa Ghilarducci has spent her career working to ensure retirement security for all American workers. She joined The New School for Social Research as a professor of economics in 2008 after teaching at Notre Dame for 25 years. At The New School, she also directs the Schwartz Center for Economic Policy Analysis (SCEPA), which focuses on economic policy research and outreach. Ghilarducci frequently testifies before the U.S. Congress and serves as a media source to popular and online news outlets about pensions, labor economics, and older workers.

Ghilarducci’s work focuses on the need to restore the promise of retirement for every American worker. To do so, she put forward a bold reform idea — the creation of Guaranteed Retirement Accounts (GRAs) — to solve the problems Americans now face in planning for retirement: decreasing coverage and contributions, increasing investment risk, portability, leakage, high fees, and the drawdown of benefits in retirement.

Ghilarducci serves as a trustee for two retiree health care trusts: one for the United Auto Worker (UAW) retirees at GM, Ford, and Chrysler, and the other for Steelworker retirees at Goodyear. She was twice appointed by President Clinton to serve on the Pension Benefit Guaranty Corporation advisory board, serving from 1995-2002. She has been a member of the General Accounting Office Retirement Policy Advisory Panel since 2002.

Ghilarducci received her PhD in economics from the University of California at Berkeley. From 2007 to 2009, she was the Wurf fellow at the Labor and Worklife Program at Harvard Law School. She currently serves as a member of the Board of Directors of the Economic Policy Institute, a non-partisan think tank in Washington, D.C., that works to include the interests of low- and middle-income workers in economic policy.

In addition to Rescuing Retirement, Ghilarducci has authored several books on retirement security, including How to Retire with Enough Money; When I’m Sixty Four: The Plot Against Pensions and the Plan to Save Them; Labor’s Capital: The Economics and Politics of Employer Pensions, winner of an Association of American Publishers award in 1992; and Portable Pension Plans for Casual Labor Markets.

She also writes a regular column for the Forbes #RetireWell blog. Her next book, Let Us Now Praise Retirement: Second Thoughts about Older Working, will describe the reality of the lives of Americans working later in life.

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Erika Goodwin Advocacy Engagement Manager American Retirement Association

Erika Goodwin is the Advocacy Engagement Manager for the American Retirement Association (ARA). In her role, Erika is responsible for developing and executing strategies aimed at enhancing member engagement in ARA’s government affairs advocacy initiatives, including managing programs aimed at addressing social and economic issues affecting retirement policy and develops and sustains relationships with members to encourage and facilitate member involvement with federal and state representatives.

Prior to joining the ARA Government Affairs team, Erika spent 6 years with the ARA in the role of NAPA Conference Manager and NTSA Membership Manager.

She is a graduate of the first Historically Black College to confer degrees, Lincoln University, PA and holds Project Management Professional and Certified Meetings Professional designations.

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Brian Graff Chief Executive Officer American Retirement Association

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 Taxdeferred 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 industryrelated 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 Yorkinactive), 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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Timothy D. Hauser Deputy Assistant Secretary, National Office Operations

| Employee Benefits Security Administration, Department of Labor

Timothy D. Hauser is the Deputy Assistant Secretary for National Office Operations and as such is the chief operating officer of the agency. Mr. Hauser closely coordinates with the Assistant Secretary, Principal Deputy Assistant Secretary, and Deputy Assistant Secretary for Regional Office Operations in the formulation and development of EBSA policies, objectives, and goals to ensure comprehensive, integrated, and effective regulatory, compliance assistance, education, reporting, and enforcement programs.

Mr. Hauser joined the Department of Labor in 1991 as a trial attorney for the Plan Benefits Security Division (PBSD), where he represented the Department in federal district court and appellate litigation. From November 2000 until November 2013, Mr. Hauser was the Associate Solicitor of the Division. As the head of PBSD, he was responsible for all of the Department’s legal work under ERISA. Before joining the Department of Labor, Mr. Hauser worked as a trial attorney for six years at Legal Aid of Western Missouri. As a Legal Aid attorney, he represented indigent clients in civil litigation in ten rural counties in Missouri.

Mr. Hauser graduated from Harvard Law School in 1985. He is also a graduate of the University of Illinois.

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Ali Khawar Acting Assistant Secretary, Employee Benefits Security Administration | Department of Labor

Ali Khawar was named Acting Assistant Secretary on March 25, 2021. Mr. Khawar was sworn in on January 20, 2021 as the Principal Deputy Assistant Secretary for the Employee Benefits Security Administration. He has extensive government experience, and has previously served in a variety of roles at the Department, including as an EBSA investigator, in EBSA’s Office of Enforcement, as EBSA’s Chief of Staff in two Administrations, and as a Counselor to the 26th Secretary of Labor, Thomas E. Perez. Mr. Khawar has a bachelor’s degree from the Johns Hopkins University and a law degree from Emory University School of Law.

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Sen. James Lankford (R-OK)

Member of the Senate Committee on Finance

James Lankford serves Oklahomans. He served four years in the US House of Representatives for central Oklahoma, until he was overwhelmingly elected to the US Senate in 2014.

Before his service in Congress, James served students and families for more than 20 years in ministry, including 15 years as the Director of Student Ministry for the Baptist Convention of Oklahoma and Director of the Falls Creek Youth Camp, the largest youth camp in the United States, with more than 51,000 individuals attending each summer.

James and his staff enjoy serving people from all backgrounds across Oklahoma. As chairman of the Regulatory Affairs and Federal Management Subcommittee, which covers federal spending, regulatory reform, and the federal workforce, he demands we have a more fiscally responsible and transparent federal government, and our nation remains the world leader.

He believes that the federal government has an important role in our nation, but empowered families, individual people, and private businesses grow our economy and pass down our values.

James was recognized as the Senate’s top-ranked “Taxpayers Friend” by the National Taxpayers Union for his strong record in support of lower taxes, limited government, and economic freedom. His annual Federal Fumbles report is a must-read in Washington, DC, because of its commonsense solutions to the problems our federal government faces. He has also been recognized by many other organizations for his work toward increased personal freedom, economic growth, and religious liberty.

James lives in Oklahoma City with his wife Cindy. They have been married more than 27 years and have two daughters, Hannah and Jordan. He enjoys spending time with his family, working in his yard, and reading.

Committee Assignments: • Senate Committee on Finance • Senate Committee on Homeland Security and Governmental Affairs • Chairman, Subcommittee on Regulatory Affairs and Federal Management • Senate Committee on Energy and Natural Resources • Senate Committee on Indian Affairs

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Andrew Remo Director of Federal & State 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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Rep.Linda T. Sánchez (D-CA, 38TH)

Member of the House Committee on Ways and Means

A former labor lawyer, Linda T. Sánchez represents California’s 38th congressional district. Elected to the U.S. House of Representatives in 2002, Sánchez is the first Latina to serve on the powerful House Committee on Ways and Means and the House Judiciary Committee. A lifelong progressive, Sánchez has devoted her career to helping working people get ahead: advocating for families, improving America’s education system, and bringing jobs to Southern California.

Throughout her time in Congress, Sánchez has been a steadfast advocate for working people. Among her proudest achievements are a bill to assist small businesses in providing retirement benefits for their employees; enhanced customs enforcement; as well as bills to improve mental health coverage related to opioid addiction recovery. She has fought to improve childcare funding options for working parents and remains committed to shoring up pension funding for workers across the county.

In addition to co-founding the Congressional Labor and Working Families Caucus, Sánchez, from 2011 to 2017 (112th–114th Congresses), she was the Ranking Member of the House Ethics Committee. In the 114th Congress, Sánchez served as Chair of the Congressional Hispanic Caucus (CHC). During the 115th Congress (2015–2017), Sánchez served as Vice Chair of the House Democratic Caucus. She is the first Latina elected to a leadership position in the U.S. Congress.

She has also served on the following committees: Judiciary, Ethics, Oversight and Reform, Small Business, Education and Labor, Veterans’ Affairs, Foreign Affairs, and the Select Committee on Benghazi.

Sánchez was born in Orange, California, the sixth of seven children, to immigrant parents from Mexico.

Prior to her service in the House of Representatives, Sánchez worked as an attorney practicing appellate law, civil rights, and employment law. After the 1998 election, Sánchez worked for the International Brotherhood of Electrical Workers (IBEW) Local 441 and the National Electrical Contractors Association (NECA) as a compliance officer on public works and prevailing wage issues. In 2000, she was elected executive director of the Orange County Central Labor Council, AFL-CIO. Sánchez attended the University of California, Berkeley, where she earned a BA in Spanish literature with an emphasis in bilingual education from the University of California, Berkeley in 1991. After working her way through school as a bilingual aide and an ESL instructor, she went on to earn a law degree from the University of California, Los Angeles, in 1995.

Sánchez and her husband James are the proud parents of Joaquín, born in 2009. She is only the eighth woman in history to give birth while serving in Congress.

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Payson Peabody Tax Counsel U.S. House Committee on Ways & Mean (Minority)

Bio not available

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Sen. Rob Portman (R-OH)

Member of the Senate Committee on Finance

Rob Portman is a United States Senator from the state of Ohio, a position he has held since he was first elected in 2010, running a campaign that focused on common-sense conservative ideas to help create jobs and get the deficit under control. Rob won with a margin of 57 to 39 percent, winning 82 of Ohio’s 88 counties. In 2016, he was re-elected, winning by an even larger margin of 58 to 37 percent and winning 84 out of Ohio’s 88 counties.

Rob is a member of the Senate Finance Committee, the Homeland Security and Governmental Affairs Committee, and the Committee on Foreign Relations. He has authored several federal laws to increase retirement savings, reform the IRS, and add more than 50 new taxpayer rights, curb unfunded mandates, reduce taxes, and expand land conservation efforts.

In 2005, Rob left Congress when he was asked to serve as the United States Trade Representative, the Cabinet-level official responsible for implementing and enforcing U.S. trade policy. As America’s Trade Representative, Rob was successful in reducing barriers to U.S. exports and increasing enforcement of trade laws to help level the playing field for American farmers, workers, and service providers. Under his leadership, American exports increased and the U.S. brought successful legal challenges against international trade law violations—including against China.

Following his accomplishments as Trade Representative, Rob was asked to serve in another Cabinet post, this time as Director of the Office of Management and Budget. Rob made his mark by proposing a balanced budget, fighting irresponsible earmarks, and putting in place new transparency measures for all federal spending.

During his Senate tenure, Rob has introduced more than 240 bills, including 200 bipartisan bills, and more than 150 of his legislative priorities have been signed into law.

Rob was born and raised in Cincinnati, Ohio, where he still lives today with his wife, Jane. Together they have three children: Jed, Will, and Sally. Rob grew up in a small-business family, where he learned early on the value of hard work, leadership, and fiscal responsibility. When Rob was young, his dad, Bill Portman, borrowed money to start Portman Equipment Company, where Rob and his brother and sister all worked while growing up. His father, and then his brother, built the family business from a small forklift truck dealership with five employees, with Rob’s mom as the bookkeeper, to one that employed more than 300 people.

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SPEAKERS

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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Sen. Ron Wyden (D-OR)

Chairman of the Senate Committee on Finance

Ron Wyden serves on the Committees on Finance, Budget, Intelligence, and Energy and Natural Resources. He is Chairman of the Senate Finance Committee and a senior member of the Energy and Natural Resources Committee.

Oregonians know Ron as a senator who listens and innovates. For example, Ron has secured landmark health care and economic wins for our workers and retirees. Always citing the need to “throw open the doors of government for Oregonians,” he holds an open-to-all town hall meeting in each of Oregon’s 36 counties each year. Thus far he has held more than 970 meetings, as well as several virtual town hall meetings sponsored by the nonpartisan Town Hall Project. Wyden’s dedication to hearing all sides of an issue and looking for common sense, nonpartisan solutions has won him trust on both sides of the aisle and put him at the heart of so many of the Senate’s most important debates. In 2011, the Almanac of American Politics described Wyden as having “displayed a genius for coming up with sensible-sounding ideas no one else had thought of and making the counter-intuitive political alliances that prove helpful in passing bills.” The Washington Post’s Ezra Klein wrote: “The country has problems. And Ron Wyden has comprehensive, bipartisan proposals for fixing them.”

Wyden began college at the University of California-Santa Barbara where he won a basketball scholarship and played in Division I competition for two seasons before transferring to Stanford University where he completed his Bachelors degree with distinction. He earned his law degree from the University of Oregon School of Law in 1974, after which he taught gerontology and cofounded the Oregon chapter of the Gray Panthers, an advocacy group for the elderly. He also served as the director of Oregon Legal Services for the Elderly from 1977 to 1979 and was a member of the Oregon State Board of Examiners of Nursing Home Administrators during that same period. He served in the U.S. House of Representatives from 1981 until his election to the U.S. Senate.

Senator Wyden’s home is in Portland; he is married to Nancy Wyden, whom he married in September 2005. He has five children: Adam, Lilly, Ava, William and Scarlett.

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ADVISORS

John Abeyta CRPS®

Corporate Retirement Director, Financial Advisor | Morgan Stanley 755 E Mulberry, Ste. 300 | San Antonio, TX 78212

BUSINESS STATISTICS

Retirement Plans: 45 Retirement Assets: $850,000,000 Participants: 15,000

Team Name: The Abeyta Bueche & Sanders Group at Morgan Stanley Retirement Plans: 45 Retirement Assets: $800,000,000 Participants: 15,000

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

BIOGRAPHY 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.

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Jeffery Acheson

AIF® | NAPA CPFA® | CFP® | NQPA Certified Private Wealth Advisor | Advanced Strategies Group 7540 Sawmill Parkway | Powell, OH 43065

BUSINESS STATISTICS

Retirement Plans: 10 Retirement Assets: $450,000,000 Participants: 2,000

MISSION STATEMENT Facilitating Financial Independence through Advanced Planning Strategies

BIOGRAPHY 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.

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Manuel Alonso NAPA CPFA®

President | The 401(k) Lab 5975 Sunset Drive, Ste. 605 | South Miami, FL 33143

BUSINESS STATISTICS

Retirement Plans: 175 Retirement Assets: $250,000,000 Participants: 10,000

MISSION STATEMENT “It’s always the right time to do the right thing.”

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.

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Khalil Andraos

NAPA CPFA® | CRPC® | CFP® | CIMA® | QPA Senior Vice President | Merrill Lynch 11951 Freedom Drive, Ste. 1750 | Reston, VA 21090

BUSINESS STATISTICS Retirement Plans: 110 Retirement Assets: $750,000,000 Participants: 10,000

Team Name: The Andraos Group Retirement Plans: 115 Retirement Assets: $750,000,000 Participants: 10,000

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.

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.

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Pam Appell AIF®

Vice President | Plexus Financial Services 21805 W Field Parkway | Deer Park, IL 60010

BUSINESS STATISTICS

Retirement Plans: 31 Retirement Assets: $890,711,646 Participants: 18,055

Team Name: Plexus Financial Services Retirement Plans: 85 Retirement Assets: $1,645,810,812 Participants: 35,302

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.

Administration from the McDonough School of Business at Georgetown University.

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Steven Arietta

AIF® | NAPA CPFA® | NQPA Qualified Plan Specialist | Capital Management Group Benefits Advisors 167 E. Central Ave. | Pearl River, NY 10965

BUSINESS STATISTICS

Retirement Plans: 70 Retirement Assets: $152,000,000 Participants: 4,500

Team Name: CMG Benefits Advisors Retirement Plans: 225 Retirement Assets: $735,000,000 Participants: 17,000

MISSION STATEMENT “To ensure at CMG Benefits Advisors we deliver high quality benefits with cost efficient solutions for our clients designed to attract and retain high quality talent.”

BIOGRAPHY Steve Arietta has 25 years experience in the Qualified Plan & Executive Benefits markets. He is a graduate of St. Thomas Aquinas College with a BS in Marketing & Management; He’s been recognized many ways for his financial services career. He received one of the most prestigious honors at Equitable being entered in the Equitable Advisors Hall of Fame in 2005. He’s a Life & Qualifying member of Million Dollar Round Table, The Premier Association of Financial Professionals, has also served as MDRT Chairperson of the Passaic-Bergen Association of Insurance & Financial Advisors, is currently a member of NAPA, the National Association of Plan Advisors where he earned the CPFA “Certified Plan Fiduciary Advisor” designation & his NQPA, “Non-Qualified Plan Advisor” certification. He also has earned the AIF designation, “Accredited Investment Fiduciary” from and is a member of FI 360. In addition, he’s Past-President, Foundation President, Officer, Paul Harris Fellowship award recipient & member of New City Rotary, a community service organization. Steve also serves his community as a Special Reserve Deputy for the Rockland County Sheriff’s Office. He resides in New City, NY & enjoys spending time with family, softball, golf & tailgating as he’s an avid sports fan.

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Alexander Assaley III AIF®

Managing Principal | AFS 401k Retirement Services 7700 Old Georgetown Rd. | Bethesda, MD 20814

BUSINESS STATISTICS

Retirement Plans: 86 Retirement Assets: $2,241,000,000 Participants: 19,750

Team Name: AFS 401(k) Retirement Services Retirement Plans: 86 Retirement Assets: $2,241,000,000 Participants: 19,750

MISSION STATEMENT 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 non-profit 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 employersponsored 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 the current President 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.

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Consultative Easy Personal Proven1 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 datadriven 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 “2020 Defined Contribution Recordkeeper Survey,” PLANSPONSOR, 2020.

NOT FDIC INSURED. MAY LOSE VALUE. NOT BANK GUARANTEED. © 2021 John Hancock. All rights reserved.

MGTS-PS39371-GE 06/21-45355 MGR0624211698148 | 20707

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Shawn Aulenbach AIF® | CRPS®

Area Vice President | Gallagher Benefit Services 470 Atlantic Ave. | Boston, MA 02110

BUSINESS STATISTICS

Retirement Plans: 41 Retirement Assets: $700,000,000 Participants: 6,500

Team Name: Gallagher Retirement Boston Retirement Plans: 185 Retirement Assets: $4,200,000,000 Participants: 62,000

MISSION STATEMENT 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.

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Kristi Baker

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Managing Partner | CSi Advisory Services 900 E 96th St., Ste. 325 | Indianapolis, IN 46240

BUSINESS STATISTICS

Retirement Plans: 140 Retirement Assets: $640,000,000 Participants: 10,000

Team Name: CSi Advisory Services Retirement Plans: 216 Retirement Assets: $1,000,000,000 Participants: 17,000

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.

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Chuck Baracco AIF® | NAPA CPFA®

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

BUSINESS STATISTICS

Retirement Plans: 42 Retirement Assets: $251,400,805 Participants: 2,168

Team Name: OneGroup Retirement Advisors Retirement Plans: 152 Retirement Assets: $1,332,253,146 Participants: 15,180

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.

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Todd Barker

NAPA CPFA® | CIMA® | C(k)P™ First Vice President, Wealth Management Advisor | Bank of America Merrill Lynch 1065 Sierra CT, NE Ste. C | Cedar Rapids, Iowa 52402

BUSINESS STATISTICS

Retirement Plans: 16 Retirement Assets: $250,000,000 Participants: 2,200

Team Name: Trovas Barker Wealth Management Team Retirement Plans: 16 Retirement Assets: $250,000,000 Participants: 2,200

MISSION STATEMENT At Bank of America Merrill Lynch, our mission is to help make financial lives better, through the power of every connection.

My team and I work with large companies and institutions on investment consulting, benefit plans, and an array of financial services. Within our team we have advanced certifications and both external and internal designations and we apply an institutional level knowledge and regimen to our clients.

BIOGRAPHY Born in Iowa, I grew up in Cedar Rapids. I currently serve on the City of Cedar Rapids Board of Adjustment, the Linn County I-Club Board, the Eastern Iowa Arts Academy Board, and actively support many community organizations.

I graduated from the University of Iowa, with both a B.S. and B.A. I also earned my M.B.A. from the Henry B. Tippe School of Management at the University of Iowa, concentrating in finance and accounting. I hold the Certified Private Wealth Advisor® certification, administered by Investments & Wealth Institute™ and taught in conjunction with the UCLA Anderson School of Management Executive Education. I also hold my Certified Investment Management Analyst® certification also administered by Investments & Wealth Institute™ in conjunction with Booth School of Management at the University of Chicago. I have my Certified Plan Fiduciary Advisor designation, and C(k)P® Designation or Certified 401(k) Professional Designation, which is administered by The Retirement Advisor University also in collaboration with UCLA Anderson School of Management Executive Education.

In addition to my primary role, I am also our complex Sales Manager and the Market Integration Executive for the Iowa Suburban Market within our enterprise and focus on integrating our lines of business with clients.

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Paul Batt

AIF® | NAPA CPFA® President | Phocus Retirement Services 1921 S. Alma School Road, Ste. 307 | Mesa, AZ 85210

BUSINESS STATISTICS Retirement Plans: 90 Retirement Assets: $335,000,00 Participants: 4,855

Team Name: Phocus Retirement Services Retirement Plans: 135 Retirement Assets: $425,000 Participants: 5,685

MISSION STATEMENT To provide plan sponsors and their employees, an excellent retirement plan experience.

BIOGRAPHY Paul has 22 years of financial services industry experience, with 15 years focusing on servicing and supporting qualified retirement plans. Paul holds the Certified Plan Fiduciary Advisor (CPFA) designation and is an Accredited Investment Fiduciary (AIF). He is a member of the National Association of Plan Advisors (NAPA) as well as the Western Pension Benefits Council (WPBC).

Paul is known as a valuable resource for his clients and has a passion for helping plan sponsors and participants have the best experience possible with their retirement plan. Paul enjoys spending time with his family, traveling, the outdoors, Side-by-side and dirt bike riding, and going on dates with his wife of 24 years, Rachel. Paul and and Rachel have three children and reside in Gilbert, AZ.

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Katrina Bell

NAPA CPFA® | CIMA® President | ZUNA, LLC 3903 S Kelly Ave. | Portland, OR 97239

BUSINESS STATISTICS

Retirement Plans: 15 Retirement Assets: $100,000,000 Participants: 2,000

MISSION STATEMENT Health benefits, 401(k) plans, payroll, taxes, accounting and insurance are foundational for any business. But managing these siloed functions effectively becomes an instant liability when there’s a bump in the road. That’s why we created Zuna. To connect and align our clients’ core financial services and benefit solutions so they not only work better, they become a strategic advantage.

At Zuna, we’ve been on both sides of the fence. We know what it’s like to run a business because we have. And, we know what it’s like to deal with operational services because we’ve worked in the industry for years. That unique perspective made clear just how broken the traditional model for professional services is. We saw an opportunity to make these core operations an integrated and more strategic part of the business, instead of siloed, standalone services.

Our comprehensive 401(k) consulting services include operations and compliance support, investment selection and monitoring (including ESG consulting), and employee engagement and financial wellness.

BIOGRAPHY Katrina is passionate about building relationships. That’s why she loves doing this work. Skillfully advising on plans, she gives her clients everything they need to make informed decisions. And she does it with an upbeat, supportive energy that is uniquely her.

A natural problem solver and strategic thinker, Kat believes boxes are for cereal, not ideas. Kat isn’t afraid to ask questions and values every opportunity she gets to learn something new. Kat’s been helping manage retirement plans and educating employees for over 20 years. She has a B.S. in Business Management from Marylhurst University and obtained the Certified Investment Management Analyst designation in conjunction with Yale School of Management.

When she’s off duty, her days are filled with hot yoga, travel adventures, and mother-daughter dinners. Valuing community and connection, Kat often volunteers with local organizations. Katrina’s top three values: Empathy.

Excellence. Drive.

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Douglas Bermudez NAPA CPFA® | C(k)P™

Managing Director | Strategic Retirement Partners - Los Angeles 500 Silver Spur Rd. | Palos Verdes, CA 90275-3618

BUSINESS STATISTICS

Retirement Plans: 31 Retirement Assets: $243,066,434 Participants: 7,779

Team Name: Strategic Retirement Partners - Los Angeles Retirement Plans: 62 Retirement Assets: $486,132,869 Participants: 15,557

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

BIOGRAPHY My team and I work with organizations and professionals — we create longterm, 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.

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Samuel Brandwein

CRPS® | CFP® | CIMA® | QPA | QPFC Senior Vice President | Morgan Stanley 595 S. Federal Hwy. #400 | Boca Raton, FL 33432

BUSINESS STATISTICS

Retirement Plans: 40 Retirement Assets: $500,000,000 Participants: 10,000

Team Name: The Atlantic Group Retirement Plans: 55 Retirement Assets: $2,100,000,000 Participants: 22,000

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.

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.

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Linda Bright

P TO PA N NAOMEORS20

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AIF® | C(k)P™ | CPC

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SVP & Managing Director | Precept Advisory Group 130 Theory, Ste. 200 | Irvine, CA 92617

BUSINESS STATISTICS

Retirement Plans: 15 Retirement Assets: $2,000,000,000 Participants: 15,000

Team Name: Precept Advisory Group Retirement Plans: 60 Retirement Assets: $5,250,000,000 Participants: 35,000

MISSION STATEMENT As nationally recognized retirement plan consulting experts, Precept Advisory Group has been providing independent and unbiased advice to fiduciaries and plan committees to enhance retirement plan outcomes for participants and plan sponsors since 1987. Our strengths include: fiduciary stewardship & education, risk mitigation, investment analysis & recommendations, optimal plan design execution, vendor management and plan benchmarking as well as compliance support & oversight.

BIOGRAPHY Linda Bright is the 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 over $5 billion in combined DC/DB plan assets. In her consulting capacity, Linda has provided fiduciary stewardship to investment committees for over 20 years related to plan design optimization, all areas of plan benchmarking and selection & monitoring of investments and service providers.

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EMERGING ADVISOR

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Gina Buchholz

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Investment Advisor Representative | 401k Plan Professionals 7400 Metro Blvd., Ste. 213 | Edina, MN 55439

BUSINESS STATISTICS

Retirement Plans: 35 Retirement Assets: $250,000,000 Participants: 4,000

Team Name: 401(k) Plan Professionals Retirement Plans: 115 Retirement Assets: $1,100,000,000 Participants: 15,000

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 AIF® 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.

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Lisa Buffington AIF | NAPA CPFA ®

P TO PA N NAOMEORS20

W DVIS A

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ACES

2021

NAPA’S TOP PLAN ADVISORS UNDER 40

Vice President | Marsh & McLennan Agency 101 Huntington Ave., Ste. 400 | Boston, MA 02199

BUSINESS STATISTICS

Retirement Plans: 35 Retirement Assets: $1,200,000,000 Participants: 11,000

Team Name: Marsh & McLennan Agency New England Retirement Plans: 330 Retirement Assets: $7,000,000,000 Participants: 190,000

MISSION STATEMENT Retirement Reimagined. Inspiring People to Create Better Financial Futures.

Marsh & McLennan Agency helps employers navigate uncertain waters to create successful retirement plans for their organization. With more than $7 billion in assets regionally and $50 billion in assets nationally under advisement, our investment advisory team’s in-depth understanding of retirement strategies, prudent investment options, fiduciary responsibility, employee education, and regulatory policies including ERISA Section 404(c) help employers execute a retirement plan and financial wellbeing strategy to provide optimal value and benefit for our clients’ employees.

BIOGRAPHY As a Vice President in MMA’s Retirement Services Division, Lisa serves as a Strategic Retirement Plan Consultant aiming to help organizations maximize retirement plan efficiencies and outcomes so that their employees can achieve their goals for retirement. She 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, compliance, as well as participant education and financial wellbeing strategies.

Previously employed at Prudential Retirement as the Regional Sales Director for New England and former Key Account Client Manager with 28 years experience in assisting plan sponsors and consultants to craft plan design and education strategies to maximize retirement outcomes and financial futures for 401k, 403b, DB, and NQ plan participants.

Lisa is the former president of the Women in Pensions Network, and current cochair of WIPN’s Hartford Chapter.

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Brian Buhrow NAPA CPFA®

Retirement Relationship Manager | CUNA Mutual Group 5910 Mineral Point Road | Madison, WI 53705

BUSINESS STATISTICS

Retirement Plans: 85 Retirement Assets: $320,000,000 Participants: 4,000

MISSION STATEMENT Taking care of the people who take care of your members.

BIOGRAPHY Brian joined CUNA Mutual Group in 2004 where he started as a pension technician and now functions as a retirement specialist. He is based in Grundy Center, Iowa.

Brian has worked in the retirement services industry since 1998 and began his career at Principal Financial Group as a client services associate. He attended the University of Northern Iowa and is registered with FINRA.

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Andy Bush

AIF® | NAPA CPFA® | CRPS® | NQPA Partner/Advisor | Horizon Financial Group 8280 Ymca Plaza Dr. Bldg 5 | Baton Rouge, LA 70810

BUSINESS STATISTICS

Retirement Plans: 73 Retirement Assets: $260,000,000 Participants: 4,300

Team Name: Horizon Financial Group Retirement Plans: 78 Retirement Assets: $270,000,000 Participants: 4,400

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.

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48

ADVISORS

Mike Callan

AIF® | AIFA® | CRPS® | CFP® Managing Partner | First Landing Financial, LLC 2101 Parks Ave. | Virginia Beach, VA 23451

BUSINESS STATISTICS

Retirement Plans: 42 Retirement Assets: $200,000,000 Participants: 2,500

Team Name: First Landing Financial, LLC Retirement Plans: 42 Retirement Assets: $200,000,000 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.

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Deana Calvelli

P TO PA N NAOMEORS20

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20

Partner/Consultant | Lockton Investment Advisors, LLC 751 Arbor Way | Blue Bell, PA 19422

BUSINESS STATISTICS

Retirement Plans: 26 Retirement Assets: $744,000,000 Participants: 24,000

Team Name: Lockton Retirement Northeast Retirement Plans: 194 Retirement Assets: 20,527,786, 114 Participants: xx

MISSION STATEMENT Lockton’s mission is to be the worldwide value and service leader in insurance brokerage, risk management, employee benefits and retirement services.

Lockton Investment Advisors, LLC (LIA) is a SEC registered investment advisor and a subsidiary of Lockton Companies. 100% of LIA’s business is focused on workplace retirement plans. “We deliver protection for businesses and security for their employees.”

BIOGRAPHY As a Lockton executive, Deana leads and guides consulting teams and designs workplace retirement and benefits strategies that align with her clients’ business goals.

As an advocate for clients, Deana offers executives valuable perspectives, helps them navigate alternatives, shares trends, and negotiates with service providers to get the best results on their behalf. A workplace retirement industry veteran, her vast experience includes sophisticated, complex programs for defined contribution and defined benefit plans. Deana has specialized expertise in fiduciary governance, integrated approaches to well-being, plan administration, investment selection and monitoring, and mergers and acquisitions consulting.

Deana is a frequent speaker on fiduciary topics and offers plan sponsor educational programs, executive peer forums, and a Financial Fitness series for plan sponsors. She has been recognized by Financial Times as a Top 401 Advisor and named a 2020 NAPA Top Woman Advisor Captain. Deana is a graduate of Duke University. She holds the Certified Employee Benefit Specialists (CEBS) and Accredited Investment Fiduciary (AIF) designations, and the Series 7, 63, 65 licenses.

An active community volunteer, Deana currently serves as the president of the US Naval Academy Southeastern PA Parents Association, Forum of Executive Women member, and Duke University Philadelphia Regional Board member.

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Mero Capo AIF®

Managing Director | Pensionmark 115 VIP Drive, Ste. 120 | Wexford, PA 15090

BUSINESS STATISTICS

Retirement Plans: 43 Retirement Assets: $158,000,000 Participants: 2,800

Team Name: Pensionmark Retirement Plans: 2,945 Retirement Assets: $41,000,000,000 Participants: 50,000

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

BIOGRAPHY Mero has spent the last twenty years of his career helping companies and individuals formulate retirement plans designed to address their retirement goals. The focus of his services is: • Design assistance of qualified retirement plans and non-qualified executive benefits programs • Measuring and monitoring of fiduciary liability • Investment due diligence • Client portfolio management Mero received a BA in Accounting from Washington & Jefferson College and a MBA from Duquesne University. Additionally, he has earned the Accredited Investment Fiduciary® (AIF®) and has been recognized by Pittsburgh Magazine as a Five Star Wealth Manager. Mero is is a past President of RADA® (Retirement Advisors and Designers of America) and actively involved with ASPPA® (American Society of Pension Professionals & Actuaries).

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Kelly Carlson

P TO PA N NAOMEORS20

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AIF® | NAPA CPFA®

Managing Director | Advizrs, Inc. 111 Bedford Court | Deland, FL 32724

BUSINESS STATISTICS

Retirement Plans: 30 Retirement Assets: $185,000,000 Participants: 3,660

Team Name: Advizrs, Inc. Retirement Plans: 62 Retirement Assets: $335,000,000 Participants: 5,660

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.

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Murray Carter

AIF® | CFP® | C(k)P™ | NQPA EVP - Wealth Management CSG Capital Partners of Janney Montgomery Scott 1255 23rd St., NW, Ste. 810 | Washington, DC 20037

BUSINESS STATISTICS

Retirement Plans: 36 Retirement Assets: $675,000,000 Participants: 11,500

Team Name: CSG Capital Partners of Janney Montgomery Scott Retirement Plans: 36 Retirement Assets: $675,000,000 Participants: 11,500

MISSION STATEMENT 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.

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Christopher Cervante

AIF® | NAPA CPFA® | CRPC® | CFP® | CIMA® | C(k)P™ | NQPA Senior Vice President | Merrill Lynch 18208 Preston Road, Ste. D9-157 | Dallas, TX 75252-6007

BUSINESS STATISTICS

Retirement Plans: 125 Retirement Assets: $300,000,000 Participants: 20,000

Team Name: Cervantes Group & Associates Retirement Plans: 125 Retirement Assets: $300,000,000 Participants: 20,000

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.

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Edwad Chairvolotti AIF®

CEO | Chairvolotti Financial 631 South Orlando Ave. | Winter Park, FL 32789

BUSINESS STATISTICS

Retirement Plans: 130 Retirement Assets: $148,000,000 Participants: 3,200

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 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.

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Jon Chambers NAPA CPFA®

Managing Director | SageView Advisory Group 3650 Mount Diablo Blvd., Ste 201 | Lafayette, CA 94549

BUSINESS STATISTICS

Retirement Plans: 62 Retirement Assets: $7,525,422,149 Participants: 40,000

Team Name: SageView San Francisco/Lafayette Retirement Plans: 62 Retirement Assets: $7,525,422,149 Participants: 40,000

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

BIOGRAPHY Jon Chambers is a Managing Director at SageView, with over 30 years of retirement plan industry experience. He specializes in the analysis, design and implementation of retirement plan investment programs, helps plan sponsors implement successful plan administrative structures, and assists with fiduciary compliance. He was named as one of the 2020 Financial Times 401 Top Retirement Advisors.

Jon is a nationally recognized expert on 401(k) fees. He has met with officials from the SEC, the GAO and the DOL to discuss regulations relating to 401(k) fee disclosure. He testified before the House Committee on Education and Labor on this issue.

Jon has written articles on retirement plan investing for the Journal of Financial Planning, Employee Benefit Plan Review, Journal of Pension Benefits, and Profit Sharing. He has been quoted on retirement topics in Pensions & Investments, the Wall Street Journal, San Francisco Chronicle, and San Jose Mercury News.

Jon graduated from the University of California, Berkeley with departmental and college honors. He is a member and past president of the San Francisco Chapter of the Western Pension & Benefits Council and a member of the National Association of Plan Advisors. Jon holds the Certified Plan Financial Advisor designation.

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Tina Chambers

P TO PA N NAOMEORS20

W DVIS A

20

Senior Consultant | SageView Advisory Group 3650 Mount Diablo Blvd., Ste 201 | Lafayette, CA 94549

BUSINESS STATISTICS

Retirement Plans: 18 Retirement Assets: $3,200,000,000 Participants: 8,000

Team Name: SageView Advisory/ Lafayette Retirement Plans: 40 Retirement Assets: $7,200,000,000 Participants: 50,000

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

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.

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John Chandler CEO | OnTrack401(k) 3100 Clarendon Blvd. #200 | Arlington, VA 22201

BUSINESS STATISTICS

Retirement Plans: 72 Retirement Assets: $275,000 Participants: 2,000

BIOGRAPHY 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.

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Craig Ciarlelli AIFA®

President | CC Coaching and Consulting, Inc. 5595 South Sycamore St. | Littleton, CO 80120

BUSINESS STATISTICS

Retirement Plans: 158 Retirement Assets: $150,000,000 Participants: 3,000

MISSION STATEMENT Toward the achievement of our client’s financial dreams and goals, we are dedicated to exercising our collective knowledge and expertise in the following manner: • Simplifying success proven planning principles and practices.

• Creatively personalizing results-oriented planning techniques.

• Expediting the planning process through advanced and tailored technological resources.

• Offering exemplary client service utilizing accomplished communication tools, such as listening, understanding, anticipating and contributing.

In the execution of the aforementioned responsibilities, we are also committed to offering our creative process at a fair price and performed with an emphasis on efficiency, timeliness and accountability. We will always strive to uphold these high standards.

BIOGRAPHY Craig’s mission is to help small business owners make informed decisions about the many options that are presented when considering a qualified retirement plan.

Craig specializes in providing advisory services for small business 401k plans by personally engaging with plan sponsors and guiding them on how to best fulfill their fiduciaries responsibilities and achieve positive participant outcomes.

Craig has provided guidance to small business clients with 401k plans for 20+ years. While doing so, Craig innovatively created a proprietary concept that provides a customized comprehensive analysis resulting in a retirement plan design, comparison of recordkeepers and third-party administrators. The Corporate Retirement Plan Solution also details fiduciary compliance assistance and supports Trustees with making informed choices when establishing or improving their 401k plan.

Craig lives in Littleton Colorado with his wife Priscilla, has two sons and enjoys time with his twin granddaughters. Craig holds a B.S. degree from the University of Tulsa and is one of only 600 people in the country with the AIFA - Accredited Investment Fiduciary Analyst - designation. Craig enjoys the outdoors with running, crosscountry skiing and competing in triathlons as his top activities. Craig also dedicates himself to volunteering for the American Diabetes Association.

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Kate Clark Retirement Plan Consultant | Mariner Wealth Advisors 5700 W. 112th St. | Overland Park, KS 66211

BUSINESS STATISTICS

Retirement Plans: 306 Retirement Assets: $3,496,476,864 Participants: 39,233

MISSION STATEMENT We want employees to achieve the freedom that comes from financial independence by providing them with the tools, plan design and a blueprint for success and always putting the client’s interest first, our employees second and the shareholders last. We do this by building retirement plans, with best in class investments, most up to date plan design, state-of–the-art record keeping and competitive cost. And when possible, we combine the retirement plan with a financial wellness program that puts employees in a position to take advantage of the retirement plan offered.

BIOGRAPHY Kate provides services to plan sponsors and employees and assists team members with retirement plan questions and projects. Prior to joining Mariner Wealth Advisors full-time, Kate participated in an internship with the firm the summer prior to graduation.

She has a bachelor’s degree in management and society from the University of North Carolina at Chapel Hill.

Kate played Division 1 college tennis for the UNC women’s tennis team. During her time in Chapel Hill as a student-athlete, she also participated in the Richard A. Baddour Carolina Leadership Academy, a four-year program on leadership development.

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Nicole Corning

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W DVIS A

AIF® | CRPC® | CFP®

20

Managing Partner | Buckman and Corning Financial Strategies Group 14624 N Scottsdale Road, Ste. 120 | Scottsdale, AZ 85254

BUSINESS STATISTICS

Retirement Plans: 80 Retirement Assets: $482,534,375 Participants: 14,435

Team Name: Buckman and Corning Financial Strategies Group Retirement Plans: 80 Retirement Assets: $482,534,375 Participants: 14,435

MISSION STATEMENT As a financial advisor, I am dedicated to working with individuals and businesses to develop comprehensive financial and investment strategies to help them reach their goals. I specialize in helping companies manage and optimize their retirement plans, including 401(k), 403(b), 457(f), 457(j), defined benefit and non-qualified deferred compensation plans. My mission is to provide every client – whether they are corporate or individual – with targeted and personalized financial advice and portfolio management. I pride myself on delivering all of this with the highest level of personal service and professional integrity.

BIOGRAPHY Nicole is a member of the Retirement Advisor Council and was named one of the Top Women Advisor by the National Association of Plan Advisors, NAPA, in 2018, 2019 & 2020. Her team was named one of the Top DC Advisor Teams in 2019 & 2020. And in 2020 She was named one of the 401 Retirement Advisors by the Financial Times.

Prior to coming to Arizona, Nicole resided in Washington D.C. and had a career in politics. She is a published author, hosts a weekly podcast, and writes a blog that is featured on WorkingMother.com with a focus on empowering women.

She has appeared on the Katie Couric Show and has been featured in Financial Planning Magazine, NAPA-Net Magazine, Plan Sponsor Magazine & Investment News. She is active in the Scottsdale non-profit community and sits on the advisory board of the Care Fund, and is a graduate of Scottsdale Leadership Class of XXIV. She currently serves as the inaugural chairwoman of the American Retirement Association’s Council for Women. Nicole graduated Cum Laude from the University of Massachusetts, Amherst.

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Michael Curry

AIF® | NAPA CPFA® | CRPC® | CRPS® | C(k)P™ Corporate Retirement Director | Morgan Stanley 9665 Wilshire Blvd. | Beverly Hills, CA 90212

BUSINESS STATISTICS

Retirement Plans: 35 Retirement Assets: 100,000,000 Participants: 3,000

MISSION STATEMENT We believe capital can work to benefit all of society. We make this belief a reality by doing the right thing, putting clients first, leading with exceptional ideas, committing to diversity and inclusion, and giving back.

BIOGRAPHY Michael “Mike” Curry has worked his entire career in the financial services industry, where he has gained experience in client service, process management and fiduciary oversight. He puts his experience to work through managing and building client relationships, while simultaneously providing outstanding client service – ever striving towards self-improvement in order to learn more about the industry for the clients he supports. Mike is excited to be working in a capacity that helps people prepare for the future by investing for retirement today.

Mike is a proud active Board Member of Students Run Los Angeles and a volunteer coordinator for Heal the Bay. He enjoys running, hiking, biking and all things fitness related. Mike also enjoys traveling and considers himself an amateur photographer, always making time to stop and capture moments.

Mike holds a B.A. magna cum laude in Marketing Management from the University of New Mexico. He later earned the Certified Trust and Financial Advisor designation from the American Bankers Association, the Chartered Retirement Planning Counselor, and the Chartered Retirement Plans Specialist designation from the College for Financial Planning.

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ADVISORS

Paul D’Aiutolo AIF® | CRPS® | PRP®

Senior Retirement Plan Consultant | UBS Financial Services 400 Linden Oaks | Rochester, NY 14625

BUSINESS STATISTICS

Retirement Plans: 75 Retirement Assets: $4,000,000,000 Participants: 50,000 Team Name: The D’Aiutolo, Malcolm

& Associates Investment Consulting Group Retirement Plans: 70 Retirement Assets: $4,000,000,000 Participants: 50,000

MISSION STATEMENT 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.

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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 Financial who is focused on what matters most to you.

Advocating for small business owners and retirement plan participants. Many of our advisors 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 advisors tremendous peace of mind. Through our Political Action Committee we represent what’s in the best interest of your plan sponsors and participants.

Supporting advisors and their practice. Our retirement consultant team offers you operational support and marketing resources all along the way, to help you compete in a tough market.

Let Us Focus On You Today Member FINRA/SIPC Tracking #1-05165644

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ADVISORS

Corby Dall Senior Vice President | Resources Investment Advisors 27 Northridge Way | Sandy, UT 84092

BUSINESS STATISTICS

Retirement Plans: 165 Retirement Assets: $3,700,000,000 Participants: 50,000

Team Name: Resources Investment Advisors Retirement Plans: 5,000 Retirement Assets: $70,000,000,000 Participants: 900,000

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.

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 wellrespected 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.

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ADVISORS

Kelli Davis

AIF® | NAPA CPFA® | C(k)P™ Vice President of Retirement Plan Consulting | Global Retirement Partner/LPL 900 E 96th St., Ste 325 | Indianapolis, IN 46240-3804

BUSINESS STATISTICS

Retirement Plans: 75 Retirement Assets: $260,000,000 Participants: 8.000

Team Name: CSi Advisory Services Retirement Plans: 225 Retirement Assets: $1,000,000,000 Participants: 17,000

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.

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Kristen Deevy

P TO PA N NAOMEORS20

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Managing Director | Pensionmark 1979 W Littleton Blvd. | Littleton, CO 80123

BUSINESS STATISTICS

Retirement Plans: 34 Retirement Assets: $241,146,004 Participants: 10,093

Team Name: Pensionmark Financial Group Retirement Plans: 4,000 Retirement Assets: $23,350,477,404 Participants: Not Tracked

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 non-qualified 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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Barbara Delaney

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Principal | SSRBA, div of HUB Int’l 20 North Main St. | Pearl River, NY 10965

BUSINESS STATISTICS

Retirement Plans: 39 Retirement Assets: $3,600,000,000 Participants: 24,000

Team Name: SSRBA Retirement Plans: 39 Retirement Assets: $3,600,000,000 Participants: 24,000

MISSION STATEMENT COMPLETE COMMITMENT. NO EXCUSES.

BIOGRAPHY 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 National Association of Plan Advisors (NAPA), and is a member of the NAPA Leadership Council.

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Joseph DeNoyior

AIF® | NAPA CPFA® | CRPS® | C(k)P™ President, Retirement & Private Wealth | HUB International 8300 Greensboro Drive | McLean, VA 22102

BUSINESS STATISTICS

Retirement Plans: 72 Retirement Assets: $1,300,000,000 Participants: 26,000

Team Name: Washington Financial Group, HUB Retirement Plans: 225 Retirement Assets: $2,1000,000,000 Participants: 44,000

BIOGRAPHY Joe is the President of Retirement & Private Wealth at HUB International, where he leads HUB’s mission to offer comprehensive client services at the retirement plan sponsor, participant and individual levels. Since 1990, he has maintained a commitment to building an organization centered on client needs that seeks to provide unsurpassed service and independent advice for businesses and their employees.

Prior to joining HUB in 2019, Joe spent his entire career as the CEO of Washington Financial Group, which was named a 2020 NAPA Top DC Advisor Team as well as the 2017 PLANSPONSOR Retirement Plan Adviser Small Team of the Year.

Joe is the President-Elect of the American Retirement Association as well as the Past President of the National Association of Plan Advisors (NAPA).

Joe has been on a lifelong quest to find the perfect slice of pizza.

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ADVISORS

Craig Dewey AIF® | NAPA CPFA®

Managing Partner | Strategic Retirement Partners 111 Bulifants Blvd., Ste. D | Williamsburg, VA 23188

BUSINESS STATISTICS

Retirement Plans: 31 Retirement Assets: $417,600,000 Participants: 5,894

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.

BIOGRAPHY An industry veteran, Craig’s career began with The Equitable 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 holds the Accredited Investment Fiduciary (AIF®) and Accredited Retirement Plan Consultant (ARPC) certifications.

Craig was named to the 2018 Financial Times 401 Top Retirement Advisors list.

The list recognizes the top financial advisors who specialize in serving defined contribution (DC) retirement plans across the US. Craig is a graduate of William & Mary with degrees in both History and Education. He is an investment advisor representative and has passed the FINRA Series 1 (Registered Representative Examination), Series 7 (General Securities Representative), Series 24 (General Securities Principal), Series 63 (Uniform Securities Agent State Law Examination), and Series 65 (Uniform Investment Adviser Law Examination) exams.

He resides in Williamsburg with his wife.

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Joe Dillon CFP®

Managing Director | Curi Capital 700 Spring Forest Dr. Suite 235 | Raleigh, NC 27609

BUSINESS STATISTICS

Retirement Plans: 27 Retirement Assets: $330,000,000 Participants: 2,000

BIOGRAPHY Joe Dillon is a Certified Financial Planner™ and a Chartered Life Underwriter.

He has 17 years of experience servicing retirement plan sponsors with industry leaders Fidelity Investments, Principal Financial Group, and CAPTRUST Financial Advisors before joining Curi Capital to lead the retirement plan solutions team. He’s published a piece with the Institutional Retirement Income Council and was named a Top Young Retirement Advisor by the National Association of Plan Advisors (NAPA) for 2020.

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ADVISORS

Steven Dimitriou

AIF® | NAPA CPFA® | C(k)P™ Managing Partner | Mayflower Advisors 265 Franklin St., 4th Flr. | Boston, MA 02110

BUSINESS STATISTICS Retirement Plans: 120 Retirement Assets: $2,900,000,000 Participants: 27,000

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 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. 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 runner-up 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.

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Stephen Dobrow

AIF® | NAPA CPFA® | CPC | QPA | QPFC | NQPA President | Primark Benefits 875 Mahler Road, Ste. 105 | Burlingame, CA 94010-1606

BUSINESS STATISTICS

Retirement Plans: 175 Retirement Assets: $140,000,000 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.

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ADVISORS

Craig Draper NQPA VP | Financial Advisor | CAPTRUST 3100 Village Point | Chesterton, IN 46304

BUSINESS STATISTICS

Retirement Plans: 40 Retirement Assets: $350,000,000 Participants: 4,000

Team Name: CAPTRUST- Chesteton Retirement Plans: 170 Retirement Assets: $1,600,000,000 Participants: 10,000

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.

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.

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ADVISORS

Devyn Duex

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Vice President- Financial Advisor | CAPTRUST 24 E. Cota St. | Santa Barbara, CA 93101

BUSINESS STATISTICS

Retirement Plans: 36 Retirement Assets: $ 2,385,810,401 Participants: 35,886

Team Name: CAPTRUST Santa Barbara Retirement Plans: 96 Retirement Assets: $5,135,942,153 Participants: 65,886

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 joined CAPTRUST in 2015 as a financial advisor with the firm’s strategic partnership with Pensionmark, responsible for providing retirement plan advisory services to corporate fiduciaries. Prior to the partnership, Devyn served as vice president of client relations at Pensionmark and has worked in the industry since 2004. She earned her Bachelor of Arts degree in theater arts, Magna Cum Laude, from Point Park University, and Master’s in Business Administration, marketing from the University of Phoenix. Devyn has been recognized as a, 2020, 2019, 2018, 2017 NAPA Top Women Advisors Captain, 2016 NAPA Top Women Advisors All Star, NAPA Top DC Advisor Teams (2017-2020), Top Women in Business by the Pacific Coast Business Times for the Tri-Counties (Santa Barbara, Ventura, and San Luis Obispo), 2021 Spirit of Entrepreneurship Awards Recipient.

Devyn is a founding member of the CAPTRUST Women’s Initiative, and threetime delegate at the NAPA DC Fly-in. She holds the Accredited Investment Fiduciary (AIF®), Chartered Retirement Plans Specialist (CRPS®), Certified 401(k) Professional (C(k)P®) designations, is a Certified Plan Fiduciary Advisor (CPFA) and NAPA’s Nonqualified Plan Advisor (NQPA) certification. Devyn is also a member of Women In Pension’s Network (WIPN) Membership Committee, and member of the NAPA Summit Steering Committee.

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Jean Duffy

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AIFA | NAPA CPFA ®

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

BUSINESS STATISTICS

Retirement Plans: 50 Retirement Assets: $4,200,000,000 Participants: 3,200

Team Name: CAPTRUST - Iowa Retirement Plans: 100 Retirement Assets: $7,830,000,000 Participants: 5,500

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 I have worked with retirement plan sponsors and participants for over 30 years.

As a retirement plan consultant, I work with committees to make sure they are focused on all of the various components of their retirement plan and are committed to helping the participants utilize the retirement plan. I received my undergraduate degree in Resource Management from Iowa State University.

I also hold my Series 6, 63 and 7 Licenses along with the AIFA designation and the CPFA designation. I have been recognized by both PLANSPONSOR magazine and PLANADVISOR magazine as a successful retirement plan advisor.

She was named by NAPA as one of the Top Women Advisors for the past 6 years. The CAPTRUST Iowa team has also been recognized as one of the Top 50 Retirement Plan Consulting teams in the nation.

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Kristin Dunlevy AIF® | QPFC

Senior Retirement Plan Advisor | PNC Institutional Asset Management 101 South Fifth Street | Louisville, KY 40202

BUSINESS STATISTICS

Retirement Plans: 41 Retirement Assets: $587,000,000 Participants: 7,500

MISSION STATEMENT Delivering Unbiased, Customized and Consultative Investment Solutions

BIOGRAPHY Kristin is a Senior Retirement Plan Advisor, Vice-President of Asset Management Group and serves as the primary point of contact for her retirement plan client relationships. She works closely with clients on plan design, investments, and administration, and keeps them abreast of applicable legislative changes.

Prior to assuming her current position, Kristin served as an investment fiduciary for all of her clients since 1997 as Research Director, Principal, Investment Officer, Retirement Plan Manager and Advisor for actuarial firms and independent registered advisory firms (RIA). Her plan clients ranged from start-ups to more than $500 million in assets, from 401(k) to ERISA 403(b) and defined benefit plans representing organizations with five employees to more than 15,000.

Kristin earned a B.S. in mathematics from the University of Louisville, Magna Cum Laude and is an Accredited Investment Fiduciary, AIF®, and holds the Qualified Financial Plan Consultant designation from ASPPA, the American Society of Pension Professionals and Actuaries.

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ADVISORS

Mark Eidlin

NAPA CPFA® | CRPC® | C(k)P™ Senior Vice President | Merrill Lynch 1241 Pittsford-Victor Rd. | Pittsford, NY 14534

BUSINESS STATISTICS

Retirement Plans: 50 Retirement Assets: $225,000,000 Participants: 2,500

Team Name: Eidlin-Kilmer & Associates Retirement Plans: 50 Retirement Assets:$225,000,000 Participants: 2,500

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.

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.

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EMERGING ADVISOR

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ADVISORS

Carmela Elco

P TO PA N NAOMEORS20

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Managing Director | Trinity Advisors Group 136 North Church St. | West Chester, PA 19380

BUSINESS STATISTICS Retirement Plans: 4 Retirement Assets: $40,000,000 Participants: 850

Team Name: Trinity Advisors Group Retirement Plans: 25 Retirement Assets: $300,000,000 Participants: 2,500

MISSION STATEMENT Trinity Advisors Group is a full-service retirement plan consulting firm. Our critical mission: to help Plan Sponsors design and manage cost-effective 401(k) and 403(b) retirement plans where employees can save and invest wisely to meet their retirement goals, and to provide fiduciary oversight for Plan Sponsors.

BIOGRAPHY Carmela Elco is a Sr. ERISA Consultant, 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 Trinity Advisors Group, Carmela was a Principal at Cerity Partners 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 and her Bachelor of Science degree from the University of Pittsburgh. She holds the Accredited Investment Fiduciary (AIF®) and Certified Behavioral Finance Analyst (CBFA) designations and is a member of Beacon, a membership association of select leaders from a diverse range of industries and business backgrounds.

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ADVISORS

Suzan Elder CPF | C(k)P™

CIO, Wealth Advisor | Fox and Bull Wealth Strategies 26638 SE 146th St. | Issaquah, WA 98027

BUSINESS STATISTICS

Retirement Plans: 10 Retirement Assets: $113,000,000 Participants: 2,000

MISSION STATEMENT We help people take care of their families, and businesses take care of their people.

BIOGRAPHY Suzan Elder, Co-Founder and CIO of Fox and Bull Wealth Strategies, is an Independent Advisor with BB Graham & Company (broker-dealer and registered investment advisor). She started her advisory career in the Pacific Northwest, and is now located is in Issaquah, WA. She and her team work with businesses across the US. focusing on defined contribution plans and facilitate custom wellness and education planning for organizations and their participants.

She has a Certified Plan Fiduciary Advisor (CPFA) designation from the National Association of Plan Advisors and has also earned the Certified 401(k) Professional C(k)P® designation (offered by the Retirement Advisor University at UCLA Anderson School of Management Executive Education). She has been nominated for the NAPA Top Women Retirement Plan Advisors that specifically recognize women that make significant contributions to the field and to the success of American retirement overall. Her value proposition is “We help people take care of their families, and businesses take care of their people.”

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Neil Esterson NAPA CPFA® | CFP®

Director of Retirement PlansFinancial Consultant | The Legacy Group, Inc. 4 Reservoir Circle, Ste. 103 | Pikesville, MD 21208

BUSINESS STATISTICS

Retirement Plans: 50 Retirement Assets: $105,000,000 Participants: 4,300

Team Name: The Legacy Group, Inc. Retirement Plans: 50 Retirement Assets: $105,000,000 Participants: 4,300

MISSION STATEMENT The Legacy Group, Inc. is a multigenerational ensemble. We serve as a guide, educator, and advocate throughout the entire financial planning process. As the trusted team our clients rely on, we help to navigate through life events that we plan for, and those that we pray never happen.

BIOGRAPHY Neil joined The Legacy Group in 2015 and quickly became a student of the industry by earning both the Certified Financial Planner™ and Certified Plan Fiduciary Advisory designations in 2018. He is currently working on the AIF designation to further improve his specialization in corporate retirement plans.

Neil focuses on working with businesses and educating employee groups on financial wellness.

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Kelly Famiglietta

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AIF® | NAPA CPFA® | CFP® | C(k)P™

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Partner | Charles Stephen and Company, Inc. 5951 Jefferson St. NE, Ste. D | Albuquerque, NM 87109

BUSINESS STATISTICS

Retirement Plans: 100 Retirement Assets: $250,000,000 Participants: 8,000

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.

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.

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Tim Finkelston AIF® | NAPA CPFA®

President | Columbia Benefits Consultants, Inc. 9841 Broken Land Parkway, Ste. 120 | Columbia, MD 21046

BUSINESS STATISTICS

Retirement Plans: 40 Retirement Assets: $240,000,000 Participants: 2,000

MISSION STATEMENT • To better position our clients and their employees to achieve their goals for a successful retirement • To be a valued member of our community • To treat our clients and professional partners with honesty and integrity • To treat our employees with dignity and respect while providing an environment that encourages them to grow and excel professionally

BIOGRAPHY In addition to his role as an investment advisor representative, Tim is also the president of Columbia Benefits Consultants, Inc. (CBC). CBC is a third party administration and recordkeeping firm for qualified and nonqualified retirement plans. Tim joined CBC in 1998 after 5 years in the private practice of law, and he brings to the firm a wealth of knowledge in retirement plan design and administration matters, insurance matters, and investment matters. Tim holds an undergraduate degree in history from the University of Virginia where he was also a 4-year letterman on the football team. After a brief stint in the NFL with the Indianapolis Colts, Tim went on to earn his law degree from Penn State’s Dickinson School of Law. He is a member of the American Bar Association, the Maryland State Bar Association, the Pennsylvania Bar Association, the Society of Financial Service Professionals, and the National Associates Actuaries & Consultants, Inc. Tim has also been awarded the Chartered Life Underwriter (CLU) and Chartered Financial Consultant (ChFC) designations from the American College, Byrn Mawr, Pennsylvania.

Tim resides in Clarksville, Maryland with his wife, Kerri, and their four sons, Tucker, Casey, Riley, and Paxton. Tim has taken an active role in his community.

He is the First Vice President of the Baltimore Chapter of the National Football Foundation and College Hall of Fame, and the founder of Champions Against Cancer, a nonprofit foundation that provides resources to children who have parents or caregivers with cancer.

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TargetDateVisualizer®

A new lens on target-date strategies

TargetDateVisualizer is a fast, easy way to identify a target-date strategy that matches your investment philosophy.

Try it free at putnam.com/dcio

The principal value of target-date funds is not guaranteed at any time, including the target date.

84

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Tyler Finlinson CIMA®

Managing Partner | Soltis Investment Advisors 20 North Main St. 400 | Saint George, UT 84770

BUSINESS STATISTICS

Retirement Plans: 102 Retirement Assets: $2,500,000,000 Participants: 80,000

Team Name: Soltis Investment Advisors Retirement Plans: 102 Retirement Assets: $2,500,000,000 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.

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Derek Fiorenza

ACES

2021

NAPA’S TOP PLAN ADVISORS UNDER 40

AIF | NAPA CPFA | C(k)P™ ®

®

COO / CCO | Summit Group Retirement Planners, Inc. 431 Exton Commons | Exton, PA 19341

BUSINESS STATISTICS

Retirement Plans: 60 Retirement Assets: $160,000,000 Participants: 4,000

MISSION STATEMENT We Believe Every American Deserves an Opportunity to Retire Debt Free and with Dignity. Summit Group Retirement Planners, Inc. was founded with the goal of serving employer’s and employees as specialists in retirement plans. We are striving to create the ultimate retirement planning experience one relationship at a time. Every relationship matters and every person we have the opportunity to serve is important to us. We deeply care about each relationship. We view our clients as our professional partners, and we are motivated to create an engaging experience through humble heartfelt service and compassionate guidance to all of those plan sponsors and employees we serve.

BIOGRAPHY “My name is Derek Fiorenza. It is my goal to contribute to making the world a better place one day at a time through my professional and philanthropic services. I am highly motivated and want to add as much value as I possibly can to my clients, and constituents of my non-profit ventures.”

Professional Services Mr. Fiorenza earned a Bachelor of Arts degree in Communications with a minor in Business from Villanova University, and a Master of Science in Business Administration from California University of Pennsylvania.

Derek co-founded Summit Group Retirement Planners, Inc. (SGRP). SGRP is a Registered Investment Advisory Firm (RIA) registered with the Securities Exchange Commission (SEC). Derek serves as an Investment Advisor Representative (IAR) of the RIA. Derek has earned the AIF® Designation, NAPA CPFA®, PPC Designation, and C(k)P Designation. Derek Fiorenza is a member of the Retirement Advisor Council: Advocating for Successful Retirement Plan Outcomes. Additionally, Derek Fiorenza in affiliation with Summit Group Retirement Planners, Inc. is a member of the National Association of Plan Advisors (NAPA).

Derek leads Fiorenza’s Food For Friends (F4) which has worked to distribute over 4,000,000 pounds of food across the US. F4’s Vision is to create a world without hunger!

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Jeanne Fisher

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Managing Director | Strategic Retirement Partners 323 Cumberland Ridge Court | Bowling Green, KY 42103

BUSINESS STATISTICS Retirement Plans: 7 Retirement Assets: $25,000,000 Participants: 1,500

MISSION STATEMENT Providing simple and honest financial advice in a complicated jargon-filled industry.

BIOGRAPHY Jeanne is CFP® and a CPFA with Strategic Retirement Partners. She has built a successful practice serving as an investment advisor and financial consultant for families and businesses.

Jeanne’s goal is to simplify advice in an over-complicated, jargon-filled industry.

As an Ambassador to the CFP® Board, she has served as a resource for numerous national publications including Forbes Magazine, Time Magazine, USA Today, The New York Times, Lending Tree, Her Money and 401k Specialist Magazine. She has been interviewed by NPR, Asset TV, PBS, WBKO, Doughroller, Retireholi(k)s, The 401k Podcast, etc.

She brings an energy and simplicity to complicated topics and provides continuing education certification courses for professionals across the nation.

Jeanne is recognized by industry leaders and colleagues for the original content published on social media. Topics range from personal finance tips to employersponsored plans and practice management advice for finance professionals.

Using the hashtags #401klady and #cfppro, you can find her on social media.

Her utilization of social media promotes education for clients and helps attract and retain prospects.

Jeanne’s accessible way of providing virtual advice and engagement is creating a more collaborative platform for financial professionals to support each other and their clients in the digital age.

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Mark Forbes

NAPA CPFA® | C(k)P™ Managing Director | Strategic Retirement Partners 2727 East 21st St. | Tulsa, OK 74114

BUSINESS STATISTICS Retirement Plans: 28 Retirement Assets: $375,000,000 Participants: 9,000

Team Name: Strategic Retirement Partners Retirement Plans: 850 Retirement Assets: $15,000,000,000 Participants: 225,000

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 Mark is Strategic Retirement Partners’ Managing Director. He 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 25 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 BBA from Drake University, Des Moines, IA. Mark is registered with the SEC as an Investment Advisory Representative.

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Jeffrey Fountain AIF® | C(k)P™

Advisor | Garrison Advisors 11350 McCormick Road, Ste.200 | Hunt Valley, MD 21031

BUSINESS STATISTICS

Retirement Plans: 170 Retirement Assets: $500,000,000 Participants: 5,000

Team Name: Garrison Advisors Retirement Plans: Not Answered Retirement Assets: $750,000,000 Participants: 5,000

MISSION STATEMENT N/A

BIOGRAPHY N/A

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Don Fox

AIF® | CIMA® | CIS® | SIC® Senior Vice President | Fox Investment Consulting Group WFA 10369 Clayton Road | St Louis, MO 63131

BUSINESS STATISTICS

Retirement Plans: 17 Retirement Assets: $5,000,000,000 Participants: 18,000

Team Name: Fox Investment Consulting Group Retirement Plans: 14 Retirement Assets: $6,100,000,000 Participants: 36,150

MISSION STATEMENT Fox Investment Consulting Group’s mission is to help our plan sponsor clients achieve their preferred goals and objectives. We focus on helping guide fiduciaries through the maze of difficult financial decisions. Meeting the needs of institutional plan sponsors and building long term relationships requires a high level of experience and service. We believe Fox Investment Consulting Group’s competitive edge is based on acting as a fiduciary by contract, hard dollar consulting, acting as a client advocate aggressively pursuing cost savings and delivering quality performance in helping plan sponsors in their portfolio and plan design, implementation and monitoring.

BIOGRAPHY Don Fox is a Senior Institutional Consultant and has experience in the Institutional consulting investment business since 1985. He is a Senior Vice President, in the Chairman’s Circle of Excellence, with Wells Fargo Advisors.

Mr. Fox is a member of the Investment Management Consultant’s Association (IMCA) and the Institute for Investment Management Consultants (IIMC).

Member DCII and NAPA. Mr. Fox has been a Premier Advisor for over twenty years.

Mr. Fox has worked for more than twenty five years as a hard dollar co-fiduciary consultant servicing corporate, endowment, foundation and insurance plans.

Mr. Fox received his BS degree in business, majoring in finance, at USF. He is a Certified Investment management Analyst (CIMA), from the University of Pennsylvania, Wharton School.

Boards • Arts and Education Council • Pension and Investment Advisory Panel • Missouri Colleges Fund Board • Wealth Management RIA Panel

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Chris Frain

CRPS® | C(k)P™ Financial Advisor Relationship Manager | CAPTRUST 3100 Village Point, Ste., 200 | Chesterton, IN 46304

BUSINESS STATISTICS Retirement Plans: 20 Retirement Assets: $65,000,000 Participants: 3,000

Team Name: CAPTRUST- Lakeside Retirement Plans: 4,351 Retirement Assets: $518,638,513,933 Participants: 200,000+

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. Stay informed with the latest insights and happenings from CAPTRUST.

BIOGRAPHY Chris joined CAPTRUST in 2020 as a financial advisor and relationship manager. He assists in plan design, plan review, and participant education for the institutional side of the business. His responsibilities on the wealth side include walking clients through the retirement planning journey and helping them transition into life after retirement.

Prior to joining CAPTRUST, Chris was a financial advisor 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.

Chris is a self-proclaimed sports fanatic who enjoys traveling and big city adventures.

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Scott Freeman

NAPA CPFA® | CRPC® | CIMA® Senior Vice President | Merrill Lynch 2 Court St. | Binghamton, NY 13901

BUSINESS STATISTICS

Retirement Plans: 60 Retirement Assets: $200,000 Participants: 5,000

Team Name: Freeman & Associates Retirement Plans: 60 Retirement Assets: $200,000 Participants: 5,000

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-the-art 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).

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Craig Gabel NAPA CPFA®

Retirement Plan Specialist | Farmers Retirement Plan Services 24755 Chagrin Blvd. #100 | Beachwood, OH 44122

BUSINESS STATISTICS

Retirement Plans: 33 Retirement Assets: $140,000,000 Participants: 2,850

MISSION STATEMENT At Farmers Retirement Plan Services, we believe that plan sponsors and plan participants deserve access to easy to use, easy to understand and affordable workplace retirement plans. We also believe that these plans should impact the lives of employees today and not just in retirement.

BIOGRAPHY Craig is a Retirement Plan Specialist with Farmers Retirement Plan Services, a specialized team of subject matter experts within Farmers National Bank. In that role, his purpose is to help employers and employees gain access to easy to use, easy to understand and affordable workplace retirement plans.

After spending almost 25 years in the financial services industry, with the most recent 14 years focusing solely on assisting employers with implementing and/ or managing their workplace retirement plans, Craig has come to realize that retirement plans should benefit employees today and not just in retirement.

Prior to joining Farmers in 2018, Craig had his own consulting practice and had worked with Principal Financial Group as a Relationship Manager covering Northern Ohio.

Craig holds the CPFA designation as well as series 7 and 66 securities licenses

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Deanna Garen Vice President, Practice Leader, Retirement Advisor | Lockton Financial Advisors 2100 Ross Ave. | Dallas, TX 75201

BUSINESS STATISTICS

Retirement Plans: 18 Retirement Assets: $1,443,198,794 Participants: 42,574

Team Name: Lockton Dunning Retirement Services Retirement Plans: 243 Retirement Assets: $23,822,781,848 Participants: 150,000

MISSION STATEMENT The Lockton Mission: To be the worldwide value and service leader in insurance brokerage, risk management, employee benefits, and retirement services

BIOGRAPHY Deanna joined Lockton in 2018, bringing over 25 years of experience from the plan sponsor and recordkeeping perspectives. As practice leader and retirement advisor, she utilizes her expertise and leadership to drive solutions for retirement plan sponsors in the public, private and not-for-profit sectors.

Deanna uses her vast business background to deliver value to committees, highlighting opportunities and strategies to improve retirement readiness while achieving business objectives. Her experience encompasses all areas of plans, including investments, fiduciary governance, M&A, vendor management and RFP’s. Prior to joining Lockton, Deanna led service and client management for a large recordkeeper. Her earlier roles include corporate strategy, P&L ownership and oversight of government relations activities.

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EMERGING ADVISOR

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Sandy Gehler CFP® | QPFC

Senior Qualified Plan Consultant | Baird 8000 Excelsior Drive, Ste. 302 | Madison, WI 53717

BUSINESS STATISTICS

Retirement Plans: 10 Retirement Assets: $1,000,000,000 Participants: 6.500

Team Name: The Gehler Luedke Group Retirement Plans: 9 Retirement Assets: $998,000,000 Participants: 6,475

MISSION STATEMENT The Gehler Luedke Group is a multi-generational, relationship-minded team of financial professionals who provide customized and comprehensive wealth management solutions to individuals, families, business owners and executives in the Baird tradition: placing our clients’ best interests first. With a combined 47 years of financial services industry experience, we understand that time is more valuable than money, and we make it our life’s work to help you save and build your money, so that you can spend your time how you’ve planned.

Our investment philosophy is simple: We focus on the big picture, emphasizing people, process, and planning — not products.

BIOGRAPHY Sandy Gehler joined Baird in 1994 and has over 30 years in the financial services industry. Sandy helps people achieve financial security through comprehensive financial planning and investment consultation to individuals, families, and businesses. In 2005, Sandy earned the CERTIFIED FINANCIAL PLANNER™ certification. In order to obtain this certification, Sandy met rigorous education and experience requirements and she is held to high ethical and professional standards within the financial services industry. Sandy leverages her education and experience to help clients achieve their financial, estate planning, and retirement goals.

Additionally, Sandy holds the Qualified Plan Financial Consultant (QPFC) designation. The QPFC is the professional credential for experienced financial professionals who support qualified retirement plans.

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EMERGING ADVISOR

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Jordan Gelb

AIF® | NAPA CPFA® | CRPC® | CIMA® | C(k)P™ Managing Director, Wealth Management and Sr. Retirement Benefits Consultant | Bank of America Merrill 1033 Skokie Blvd. | Northbrook, IL 60062

BUSINESS STATISTICS

Retirement Plans: 41 Retirement Assets: $1,450,000,000 Participants: 27,000

Team Name: Gelb Retirement Advisory Team (Grat) Retirement Plans: 41 Retirement Assets: $1,450,000,000 Participants: 27,000

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.

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EMERGING ADVISOR

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Jeb Graham NAPA CPFA® | CIMA®

Principal | CAPTRUST 400 N. Tampa St., Ste. 1800 | Tampa, FL 33602

BUSINESS STATISTICS

Retirement Plans: 22 Retirement Assets: $2,200,000,000 Participants: 46,000

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 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.

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Keith Gredys AIF®

Chairman and CEO | Kidder Advisers, Inc. 12035 University Ave., Ste. 100 | Clive, IA 50325

BUSINESS STATISTICS

Retirement Plans: 50 Retirement Assets: $350,000,000 Participants: 3,000

Team Name: Kidder Advisers, Inc. Retirement Plans: 159 Retirement Assets: $650,000,000 Participants: 7,500

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 non-qualified 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.

WORKING WITH RETIREMENT PLANS SINCE 1980

EMERGING ADVISOR

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Eileen Greenspan AIF® | NAPA CPFA®

SVP, Senior Plan Advisor | Sentinel Benefits & Financial Group 225 Broadhollow Rd., Ste. 307 | Melville, NY 11747

BUSINESS STATISTICS

Retirement Plans: 55 Retirement Assets: $800,000,000 Participants: 6,000

Team Name: Sentinel Pension Advisors Retirement Plans: 600 Retirement Assets: $7,000,000,000 Participants: 60,000

MISSION STATEMENT We care how we can help.

BIOGRAPHY Eileen is an Investment Advisor Representative with Sentinel Pension Advisors, Inc. She joined Sentinel Benefits & Financial Group in 2011 as part of the acquisition of Schloss & Co, LLC 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.

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Timothy Guilford AIF® | NAPA CPFA®

Registered Principal | Raymond James 57 Oak Shade Rd. | Gaithersburg, MD 20878

BUSINESS STATISTICS

Retirement Plans: 65 Retirement Assets: $850,000,000 Participants: 5,000

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®.

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Matthew Gulseth CRPS® | CFP®

Partner | Channel Financial 7500 Olson Memorial Hwy #225 | Minneapolis, MN 55427-4886

BUSINESS STATISTICS

Retirement Plans: 20 Retirement Assets: $350,000,000 Participants: 7,000

Team Name: Channel Financial Retirement Plans: 145 Retirement Assets: $2,200,000,000 Participants: 35,000

MISSION STATEMENT Our clients desire better outcomes for their employees with less effort, less risk, and fair costs. We help them do that.

BIOGRAPHY I am a partner at Channel Financial serving clients in Minneapolis, MN and the surrounding region. I have been serving as a plan fiduciary to group retirement plans since 1998, the year Google was founded, and cell phones still had buttons. I frequently speak at industry conferences and I serve on several industry advisory boards. I like long motorcycle rides and short biographies.

Education / Certifications • CERTIFIED FINANCIAL PLANNERTM Professional • Licensed Attorney, State of Minnesota • Juris Doctorate, University of Minnesota Law School • Bachelor of Science, Engineering Management- University of North Dakota

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Set your sights on longterm performance with our strategic investing approach.

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ADVISORS

Erin Hall

P TO PA N NAOMEORS20

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AIF® | NAPA CPFA® | C(k)P™

20

Managing Director | Strategic Retirement Partners, LLC 500 Silver Spur, Ste. 121 | Rancho Palos Verdes, CA 90275

BUSINESS STATISTICS

Retirement Plans: 25 Retirement Assets: $253,000,000 Participants: 3,400

Team Name: Strategic Retirement Partners - Los Angeles Retirement Plans: 61 Retirement Assets: $466,000,000 Participants: 6,800

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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Brian Hartstein NAPA CPFA®

Director of Corporate Development | Bayntree Wealth Advisors 7001 N. Scottsdale Rd.,Ste. 2055 | Scottsdale, AZ 85253

BUSINESS STATISTICS

Retirement Plans: 40 Retirement Assets: $210,000,000 Participants: 4,000

MISSION STATEMENT The primary goal of Bayntree is to help clients achieve financial security through strategies that seek to maximize the growth and preservation of wealth. Our team is unconditionally committed to maintaining the highest standards of integrity and always put our clients’ interests first as demonstrated by our five core principles: • Flawless Client Service • Rapid Response • Complete Confidentiality • Personal Account Management • Transparency

BIOGRAPHY Brian Hartstein serves as Director of Corporate Development for Bayntree Wealth Advisors. Through educating clients and partnering with accountants and legal advisors, he creates efficiency in planning, leading clients toward the value they seek in their lives and the lives of their families. His areas of focus include tax, business, and pension planning for business owners. Over two decades of diverse experience has allowed Brian to provide guidance to thousands of individuals and families. Brian’s financial experience began with a job at his family’s Third Party Administration firm in his early teens.

Publications where Brian has been published or recognized include 401k Specialist Magazine, Accounting Today, Journal of Financial Planning, Journal of Financial Service Professionals, Arizona Republic and more. He served as president of the Financial Planning Association of Greater Phoenix and held a board of director position for over a decade with the organization. Additionally, Brian serves on the advisory board of the Phoenix Tax Workshop and is a member of the Society of Financial Service Professionals. Brian is also a national speaker and educator, serves on the board of several other organizations and actively supports various charities.

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Matthew Haywood AIF® | NAPA CPFA®

Retirement Plan Advisor | Krilogy, LLC 275 North Lindbergh Ste. 20 | Saint Louis, MO 63141

BUSINESS STATISTICS

Retirement Plans: 50 Retirement Assets: $275,000,000 Participants: 2,600

MISSION STATEMENT Transforming Your Plan From a Liability to an Asset

BIOGRAPHY 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.

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Greg Hobson AIF® | CFP®

Partner | Greenspring Advisors 1 West Pennsylvania Ave., Ste. 500 | Towson, MD 21204

BUSINESS STATISTICS

Retirement Plans: 40 Retirement Assets: $2,500,000,000 Participants: 25,000

Team Name: Greenspring Advisors Retirement Plans: 130 Retirement Assets: $4,500,000,000 Participants: 50,0000

MISSION STATEMENT To improve lives by helping people make better decisions for themselves and those that depend on them.

BIOGRAPHY I am a Partner & Practice Lead in the firm’s Institutional Consulting Group. I have been providing retirement plan consulting services to publicly-traded and privately-held corporations, as well as non-profit organizations since 1994.

I specialize in developing and managing corporate retirement plans by providing independent advice on fiduciary oversight, investment due diligence, fee-benchmarking, plan design, and vendor management. I currently work with approximately 40 clients consulting on $2.5 billion.

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Lee Hoffman

AIF® | NAPA CPFA® | CRPC® | CFP® Senior Vice President | Merrill Lynch 8075 Leesburg Pike, Ste. 600 | Vienna, VA 22182

BUSINESS STATISTICS

Retirement Plans: 20 Retirement Assets: $300,000,000 Participants: 2,100

Team Name: Hoffman Whipkey Group Retirement Plans: 85 Retirement Assets: $205,000,000 Participants: 370

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.

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.

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Shelly Horwitz

P TO PA N NAOMEORS20

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20

Managing Director | Pensionmark Financial Group 24 E. Cota Street | Santa Barbara, CA 93101

BUSINESS STATISTICS

Retirement Plans: 51 Retirement Assets: $500,000,000 Participants: 5

MISSION STATEMENT Pensionmark Financial Group is a network of top retirement plan specialists and financial advisors. For over 30 years our mission has been to help employers and individual investors meet and exceed their retirement and financial planning needs and obligations with uncompromising integrity.

BIOGRAPHY Shelly is a retirement plan expert who leads her practice’s Retirement Plan efforts. She has 25 years of experience working solely on retirement plan management. Over her career she has provided consulting and fiduciary advisory services to non-profits and corporations in such areas as fiduciary governance, plan design, investment consulting, compliance, employee education and communication.

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Andre Huaman Managing Partner | Three Bell Capital LLC 4 Main St. | Los Altos, CA 94022

BUSINESS STATISTICS Retirement Plans: 189 Retirement Assets: $1,350,000 Participants: 16,000

Team Name: Three Bell Capital Retirement Plans: 189 Retirement Assets: $1,350,000 Participants: 16,000

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-in-class 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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Keith Huber CFP®

Investment Advisor | Fiduciary Plan Advisors 921 E Fort Ave. | Baltimore, MD 21230

BUSINESS STATISTICS

Retirement Plans: 920 Retirement Assets: 150,000,000 Participants: 5,323

Team Name: Fiduciary Plan Advisors Retirement Plans: 140 Retirement Assets: $6,200,000,000 Participants: 220,000

MISSION STATEMENT Making working Americans feel less stressed and be happy!

BIOGRAPHY As a Consultant to corporate-sponsored retirement plans, I help plan sponsors enhance their retirement plan benefit (including 401(k), 403(b), 457(b)/(f), etc.).

This process involves benchmarking all plan fees (including our own!), providing fiduciary oversight to investments, and assisting with audits, government filings, non-discrimination testing, and more. I earned my Bachelor of Science degree with a Concentration in Finance from Towson University. I am a Certified Financial Planner™, FINRA Series 65 licensed, and Life & Health insurance licensed.

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Christina Hughes

AIF® | CFP®

Financial Advisor | LPL Financial 4536 France Ave. South | Edina, MN 55410

BUSINESS STATISTICS

Retirement Plans: 25 Retirement Assets: $300,000,000 Participants: 2,100

Team Name: Tufford-Hughes and Associates Retirement Plans: 50 Retirement Assets: $500,000,000 Participants: 4,250

MISSION STATEMENT We are committed to helping clients find retirement success through goal-based planning.

BIOGRAPHY Christina is the owner and President of Tufford-Hughes & Associates. Since 2000, Christina has been offering well-researched objective solutions focused on the unique needs and goals of small businesses. She is a Certified Financial Planner™ professional and provides employer-sponsored retirement programs, business continuation planning, financial planning, and wealth management programs as a Registered Representative and Investment Advisor Representative with Cetera Advisor Networks LLC. Her registrations through Cetera include Securities Series 7 and 63. She also has her life and health insurance license. Christina graduated from the University of Minnesota in 1995 with a BS degree.

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Mike Hulme AIF®

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

BUSINESS STATISTICS

Retirement Plans: 11 Retirement Assets: $150,000,000 Participants: 2,900

Team Name: Financial Resource Advisors Retirement Plans: 11 Retirement Assets: $525,000,000 Participants: 2,900

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

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.

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Peggy Hutchinson AIF® | CRPS® | QPFC

Financial Advisor, CRPS | Morgan Stanley 1901 Main St., 7 Floor | Irvine, CA 92614

BUSINESS STATISTICS

Retirement Plans: 48 Retirement Assets: $900,000,000 Participants: 8,000

Team Name: The THK Group at Morgan Stanley Retirement Plans: 48 Retirement Assets: $900,000,000 Participants: 8,000

MISSION STATEMENT To make a difference for each client we serve.

BIOGRAPHY Peggy is a Chartered Retirement Plan SpecialistSM, CRPS®, QPFC, Financial Advisor at Morgan Stanley. She began her career in 1982 in various aspects of the financial services industry such as operations, administration and marketing.

She currently utilizes her years of experience in the securities industry to advise corporate clients who want help with Fiduciary Duties, maintaining or restructuring their 401(k) retirement plans, Pension plans, 529 College Savings Plans, Employee Education Programs and other company benefit programs. In the process, she has become recognized by both clients and recordkeepers for her innovations in participant education and plan design.

Peggy is a member of the American Society of Pension Professionals and Actuaries (ASPPA), and the National Association of Plan Advisors (NAPA).

Peggy is a volunteer for several charities located in Orange County, Second Harvest Food Bank, ALS-Augie’s Quest and is a current member of the Board for the Boys and Girls Club of Central Orange Coast in Orange County, California.

Peggy enjoys many winter sports along with playing Golf. She has 5 Grandchildren that she enjoys spoiling and visiting whenever possible. She also loves to travel and has taken 3 river cruises in Europe. Eventually when life slows down she would like to go back to school or volunteer for the local police department and take more time to visit family and friends.

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Mark Ivcevich AIF® | QKA

President | QP Consulting LLC 6930 Carroll Ave., Ste. 407 | Takoma Park, MD 20912

BUSINESS STATISTICS

Retirement Plans: 40 Retirement Assets: $380,000,000 Participants: 2,600

MISSION STATEMENT Through providing small businesses with consulting services that were once reserved for large market plans, it is Mark’s goal to improve plan results for participants by providing them with actionable data throughout their careers so they can enjoy a comfortable retirement.

BIOGRAPHY Mark is a 1997 graduate of Georgetown University. He holds the QKA designation from the American Society of Pension Professionals & Actuaries (ASPPA) and the Accredited Investment Fiduciary (AIF®) designation from the Center for Fiduciary Studies. Mark also serves on the Department of Labor subcommittee for ASPPA, providing commentary and suggestions on retirement plan laws and regulations to regulators and legislators. He started working in the qualified plan marketplace as a regional wholesaler for a bundled group annuity vendor. After working with this firm for three years, he was then recruited to become the youngest regional sales director at an Internet-based start-up firm that specialized in qualified plan recordkeeping and administration. This position was critical to Mark’s current consulting work with plan sponsors as it allowed him to view how vendors think about their clients. This process was and continues to be littered with conflicts of interest that only a consultant could navigate. After seeing the pay-to-play environment at work, Mark decided to set up his own fee-only retirement plan practice dedicated to small and mid-market plans in 2002.

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Todd Kading NAPA CPFA® | CFP®

President | LeafHouse Financial 6504 Bridgepoint Pkwy, Ste. 450 | Austin, TX 78730

BUSINESS STATISTICS

Retirement Plans: 2,000 Retirement Assets: $13,000,000,000 Participants: 750,000

Team Name: LeafHouse Financial Retirement Plans: 2,000 Retirement Assets: $13,000,000,000 Participants: 750,000

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 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-year-old 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.

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Michael Kane

AIFA® | NAPA CPFA® | CFP® Managing Director | Plan Sponsor Consultants 1340 Northcliff Trace | Roswell, GA 30076

BUSINESS STATISTICS

Retirement Plans: 14 Retirement Assets: $1,900,000,000 Participants: 42000

Team Name: Plan Sponsor Consultants Retirement Plans: 154 Retirement Assets: $2,400,000,000 Participants: 62,000

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 201518 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.

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Kathleen Kelly

P TO PA N NAOMEORS20

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AIFA® | CRPS®

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Managing Partner | Compass Financial Partners, A Marsh & Mclennan Agency LLC Company 701 Green Valley Rd., Ste. 308 | Greensboro, NC 27408

BUSINESS STATISTICS

Retirement Plans: 87 Retirement Assets: $12,543,663,881 Participants: 168,913

Team Name: Compass Financial Partners/MMA Retirement Retirement Plans: 183 Retirement Assets: $16,210,609,059 Participants: 219,878

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

BIOGRAPHY Kathleen Kelly, originally from Ballston Lake, NY, received her Bachelor of Arts 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, specializing in the areas of retirement plan consulting & investment advisory services for qualified retirement plans and executive benefit planning. Ms. Kelly has achieved the Chartered Retirement Plan Specialist (CRPS) and the Accredited Investment Fiduciary Analyst (AIFA) designations. In recognition of her leadership within the retirement plan consulting community, Kathleen has been selected to serve on the Empower Advisory Board, Nuveen Retirement Leadership Council, Principal Financial Professional Advisor Council, the John Hancock Advisory Board, MassMutual Retirement Partners Council, Transamerica Retirement Solutions RIA Advisory Board, JP Morgan DC Advisor Council, Fidelity Workplace Investing Advisor Council, and the Retirement Advisor Council. She is a frequent speaker at industry conferences and regularly quoted in trade publications.

Ms. Kelly was appointed by the UNC Board of Governors to the Board of Trustees for Winston-Salem State University where she serves as Vice-Chair of the Board. Other community involvement includes the United Way of Greater Greensboro’s Tocqueville Strategy Team and Canterbury School Endowment Committee.

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Stephanie Kemp

QPFC

Director of Retirement Plans | Corvus Wealth Advisors 613 S Main St. | Templeton, CA 93465

BUSINESS STATISTICS

Retirement Plans: 100 Retirement Assets: $250,000,000 Participants: 2,500

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

BIOGRAPHY 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.

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Vincent Ko AIF® | NQPA

Vice President & Chief Compliance Officer | Precept Advisory Group 130 Theory Ste. 200 | Irvine, CA 92617

BUSINESS STATISTICS

Retirement Plans: 21 Retirement Assets: $3,763,715,319 Participants: 24,273

Team Name: Precept Advisory Group Retirement Plans: 55 Retirement Assets: $5,046,868,429 Participants: 75,000

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 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 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.

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Petros Koumantaros NAPA CPFA®

Consultant | intellicents 6402 19th St. West | Tacoma, WA 98466

BUSINESS STATISTICS

Retirement Plans: 11 Retirement Assets: $35,000,000 Participants: 750

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.

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Christa Kreinest NAPA CPFA®

Managing Director | Hauser Retirement Solutions 5905 E. Galbraith Rd., Ste. 9000 | Cincinnati, OH 45236

BUSINESS STATISTICS

Retirement Plans: 85 Retirement Assets: $800,000,000 Participants: 10,000

MISSION STATEMENT To be the premier provider of insurance brokerage and retirement advisory services to the private equity community and their portfolio companies. To be the national employer of choice for the industry’s most talented, forward-thinking individuals.

BIOGRAPHY Christa Kreinest is responsible for delivering customized and strategic retirement plan solutions to Hauser’s clients. These solutions showcase the value of each client’s plan to employees, help build successful retirement futures for employees, and provide plan fiduciaries with the support required to manage and maintain a successful retirement program.

Before becoming part of the Hauser team, Christa worked extensively in the retirement plan industry. Her experience includes relationship management at Fidelity Investments, employee benefits management for several large corporations, employee benefit consulting with Mercer, and ERISA enforcement with the U.S. Department of Labor.

Education B.S., Public Administration, Northern Kentucky University

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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: 25 Retirement Assets: $200,000,000 Participants: 2,500

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 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.

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Ellen Lander AIF® | NAPA CPFA®

Principal | Renaissance Benefit Advisors Group, LLC 8166 Hewlett Rd. | Atlanta, GA 30350

BUSINESS STATISTICS

Retirement Plans: 30 Retirement Assets: $1,600,000,000 Participants: 9,500

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.

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Chad Larsen AIF®

Retirement Practice Leader | HUB|MRP 2000 S. Colorado Blvd, Tower 2, Ste. 150 | Denver, CO 80222

BUSINESS STATISTICS

Retirement Plans: 100+ Retirement Assets: $4,000,000,000 Participants: 50,000

Team Name: HUB|MRP Retirement Plans: 315 Retirement Assets: $12,000,000,000 Participants: 200,000

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.

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Tami Ledger

P TO PA N NAOMEORS20

W DVIS A

NAPA CPFA®

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Retirement Plan Advisor | Mariner Wealth Advisors 366 Regency Parkway | Omaha, NE 68114

BUSINESS STATISTICS

Retirement Plans: 21 Retirement Assets: $100,000,000 Participants: 2,000

Team Name: Mariner Wealth Advisors Retirement Plan Solutions Retirement Plans: 246 Retirement Assets: $3,328,169,809 Participants: 42,100

MISSION STATEMENT We want employees to achieve the freedom that comes from financial independence by providing them with the tools, plan design and a blueprint for success and always putting the clients interest first, our employee’s second and the shareholders last. We do this by building retirement plans, with best in class investments, most up to date plan design, state-of–the-art record keeping and competitive cost. And when possible, we combine the retirement plan with a financial wellness program that puts employees in a position to take advantage of the retirement plan offered.

BIOGRAPHY Tami helps retirement plan sponsors develop and administer retirement plans through effective plan design, annual investment, fee and plan reviews and other compliance with ERISA. She also works with plan sponsors to develop education strategies and participant communications that focus on providing employees the empowerment, empathy and effectiveness to successfully save for retirement in their employer’s retirement plan.

Tami has more than two decades of experience in the financial services and legal industries. Prior to joining the firm, Tami was a financial advisor at Heritage Financial Services, LLC. She also has experience as a paralegal and a law firm office manager.

She has a bachelor’s degree in pre-law and public administration from Fort Hays State University. She is also a member of We Inspire. Promote. Network (WIPN) and is a co-chair of the Nebraska Omaha Metro Chapter. Tami was named a NAPA Top Women Advisors Rising Star in 2019 and 2020. In July 2019, she participated in the NAPA Fly-in Forum in Washington D.C.

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Ronald Letaw AIF® | NAPA CPFA®

VP, Retirement Plan Consultant | OneDigital Tampa Montgomery Retirement Plan Advisors 14502 N. Dale Mabry Hwy., Ste. 200 | Tampa, FL 33618

BUSINESS STATISTICS

Retirement Plans: 42 Retirement Assets: $1,905,000,000 Participants: 24,800 Team Name: OneDigital Tampa -

Montgomery Retirement Plan Advisors Retirement Plans: 101 Retirement Assets: $2,540,000,000 Participants: 39,500

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® Senior Retirement Plan Advisor

| Wintrust Retirement Benefits Advisors 231 S LaSalle St.,13th Floor | Chicago, IL 60604

BUSINESS STATISTICS

Retirement Plans: 105 Retirement Assets: $450,000,000 Participants: 15,000

Team Name: Wintrust Retirement Benefits Advisors Retirement Plans: 185 Retirement Assets: $2,500,000,000 Participants: 56,000

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 Justin Levonyak serves as an Advisor for the Retirement Benefits Advisors group. 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 and also volunteers with Habitat for Humanity. Justin currently resides in Addison, Illinois.

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Allen Long C(k)P™

Managing Principal | Heritage Seubert Financial 1501 Reedsdale St. | Pittsburgh, PA 15233

BUSINESS STATISTICS

Retirement Plans: 55 Retirement Assets: $600,000,000 Participants: 8,000

Team Name: Heritage Seubert Financial Retirement Plans: 95 Retirement Assets: $1,100,000,000 Participants: 16,000

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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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.

Let’s invest in greater possibilities together. invesco.com/dc

Not a Deposit Not FDIC Insured Not Guaranteed by the Bank May Lose Value Not Insured by any Federal Government Agency This is not to be construed as an offer to buy or sell any financial instruments. Invesco Distributors, Inc. NA9261 2 0 2 1

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Jon Maertz AIF® | NAPA CPFA® | CRPS® Senior Plan Advisor | NFP Retirement, Inc. 10 Terrace Court, Ste. 103 | Madison, WI 53718

BUSINESS STATISTICS

Retirement Plans: 33 Retirement Assets: $130,000,000 Participants: 3,500

Team Name: NFP Retirement Midwest (but part of Aliso Viejo) Retirement Plans: 130 Retirement Assets: $3,000,000,0000 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 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.

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Kevin Mahoney

AIF® | C(k)P™ | QPA | QPFC Business Development Office | FinDec Benefit Services, Inc. 1776 W. March Lane, Ste. 190 | Stockton, CA 95207

BUSINESS STATISTICS

Retirement Plans: 200 Retirement Assets: $600,000,000 Participants: 10,000

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.

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Kevin Mahoney AIFA® | CIMA®

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

BUSINESS STATISTICS

Retirement Plans: 50 Retirement Assets: $2,504,461,909 Participants: 22,000

Team Name: The Mahoney Group of Raymond James Retirement Plans: 50 Retirement Assets: $2504461,909 Participants: 22,000

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 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.

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Shannon Main

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Principal | Pensionmark 120 Vantis, Ste. 300 | Aliso Viejo, CA 92656

BUSINESS STATISTICS

Retirement Plans: 63 Retirement Assets: $675,000,00 Participants: 16,000

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

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Senior Vice President | UBS Financial 250 Delaware Ave. | Buffalo, NY 14202

BUSINESS STATISTICS

Retirement Plans: 70 Retirement Assets: $4,000,000,000 Participants: 50,000

Team Name: The D’Aiutolo Malcolm & Associates Retirement Plans: 70 Retirement Assets: $4,000,000,000 Participants: 50,000

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.

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.

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Shannon Maloney

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Managing Director | Strategic Retirement Partners 16599 Weatherfield Drive | Northville, MI 48168

BUSINESS STATISTICS

Retirement Plans: 38 Retirement Assets: $438,000,000 Participants: 3,450

MISSION STATEMENT Retirement Plan Consulting is the foundation on which SRP was built. Being a great steward is not about checking a box. It’s about doing the right thing day in and day out for those who rely on you. We are passionate about plan governance support, investments, and risk mitigation, so our clients can focus on what matters...positive outcomes for their people.

BIOGRAPHY Shannon, a founder of Strategic Retirement Partners, is a 25-year + industry veteran. Shannon’s passion is building long-term relationships with clients, employees and the communities served by the companies she is privileged to work with.

Stewardship and client advocacy are the cornerstones of her practice. She provides subject matter expertise, advice and oversight so that her clients can focus more time managing their business. Shannon takes her role as an ERISA (Employee Retirement Income Security Act) fiduciary seriously and her mission is to help retirement plan sponsors carry out their fiduciary responsibilities in a prudent, well-documented and cost-effective manner. In addition, she prides herself in creating a decision-making and plan management process which is easy for her clients and committee to understand and implement.

She assists her clients by facilitating fiduciary governance programs, resolving plan and provider issues, facilitating plan best practices for investments and benchmarking and positively impacting participant outcomes. As the retirement saving crisis has created uncertainty for participants and sponsors, Shannon’s dedication to employee engagement and plan design have had profound impact on participant outcomes for her clients.

WORKING WITH RETIREMENT PLANS SINCE 1995

EMERGING ADVISOR

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Michael Markovic NAPA CPFA®

Sr. Retirement Plan Consultant

| Fiduciary Plan Advisors a OneDigital Company 921 East Fort Avenue | Baltimore, MD 21230

BUSINESS STATISTICS

Retirement Plans: 45 Retirement Assets: $750,000,000 Participants: 26,750

Team Name: Fiduciary Plan Advisors a OneDigital Company Retirement Plans: 143 Retirement Assets: $6,200,000,000 Participants: 220,000

MISSION STATEMENT 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 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.

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Gregory Marsh AIF®

Managing Director/Institutional Fiduciary Plan Consultant | Bridgehaven Fiduciary Partners 58 Mount Bethel Rd. | Warren, NJ 07059

BUSINESS STATISTICS

Retirement Plans: 72 Retirement Assets: $3,200,000,000 Participants: 58,000

Team Name: Bridgehaven Fiduciary Partners Retirement Plans: 72 Retirement Assets: $3,200,000,000 Participants: 58,000

MISSION STATEMENT Bridgehaven Fiduciary Partners leverages decades of experience and a highly personal team-based approach to deliver comprehensive retirement plan consulting services to institutions, corporations and businesses. Our team of associates are passionate about high-level client service and ongoing education to help offer innovative solutions to ever changing retirement plan rules and regulations.

BIOGRAPHY Greg a founding principal of Bridgehaven Fiduciary Partners, has worked with retirement plan sponsors for more than 20 years. He brings expertise in plan design and regulatory compliance, plan administrative oversight, and investment selection and recommendation process.

In 2013, Greg earned the Accredited Investment Fiduciary designation, which is awarded to industry experts by the Center for Fiduciary Studies. Greg was named as one of the Top Retirement Plan Advisors in the U.S by Financial Times, and Bridgehaven has been named as a Top Advisor team since 2018 by the NAPA. Greg also currently serves on NAPA’s Leadership Council and Government Affairs Committee, advocating on behalf of the industry in front policymakers and elected officials.

Greg has a B.S. in Finance from American University. When he’s not working, he spends time with his wife, Cristin, and two sons, Lucas and Marcus. He enjoys fishing, boating, and other outdoor activities with his family, as well as his neverending quest to improve his golf game.

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Robert Massa AIF® | NAPA CPFA®

Managing Director | Qualified Plan Advisors 11700 Katy Freeway, Ste. 630 | Houston, TX 77079

BUSINESS STATISTICS

Retirement Plans: 30 Retirement Assets: $2,000,000,000 Participants: 20,000

Team Name: QPA Houston Retirement Plans: 85 Retirement Assets: $6,000,000,000 Participants: 100,000

MISSION STATEMENT Inspiring people to achieve their life’s ambitions.

BIOGRAPHY Robert Massa is the Managing Director for QPA in Houston and has 30+ years of experience. His career has been focused on the investment, administration and fiduciary management of retirement plans and the financial literacy of employees.

Rob graduated from the College of New Jersey and has his CHFC, CEBS, AIF, and CFPA certifications. He’s been interviewed for articles with U.S. News and World Report, The Motley Fool, and TheStreet.com and spoken at various conferences, including SHRM and PlanSponsor. In 2016, Rob was named Retirement Adviser of the Year by EBN magazine.

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Paul Massey

AIF® | NAPA CPFA® | C(k)P™ Financial Advisor | The Noble Group / Raymond James 2591 Dallas Pkwy, Ste. 505 | Frisco, TX 75034

BUSINESS STATISTICS

Retirement Plans: 50 Retirement Assets: $525,000,000 Participants: 4,000

Team Name: The Noble Group Retirement Plans: 165 Retirement Assets: $1,300,000,000 Participants: 20,000

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

EMERGING ADVISOR

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Joe Mattia AIF® | C(k)P™

Director | RSM Wealth Management 20 North Martingale Rd. | Schaumburg, IL 60173

BUSINESS STATISTICS

Retirement Plans: 47 Retirement Assets: $5,54,500,000 Participants: 4,363

Team Name: RSM Retirement Plan Advisory Services Retirement Plans: 89 Retirement Assets: $657,000,000 Participants: 6,000+

MISSION STATEMENT RSM US LLP traces its history to 1926, when Ira B. McGladrey started his own accounting firm in Cedar Rapids, IA, with a vision to treat employees well, serve clients with integrity, and bring leadership and innovation to his firm and profession.

The Power of Being Understood® is our global brand and sets the expectation for how others experience working with us. It defines the deep, trusting and inspiring relationships we build with others to help them overcome challenges and seize new opportunities.

Our vision and purpose are supported by four key strategies: deliver the RSM Experience; commitment to the middle market; empower passionate, innovative teams; and cultivate RSM promoters. And, our core values—respect, integrity, teamwork, excellence, stewardship—are the bedrock of our culture.

BIOGRAPHY Joe is an experienced retirement plan consultant and ERISA 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 investment advice and plan design consultation, Joe assists in provider searches, plan fee benchmarking, employee wellness initiatives and vendor management. He holds a B.S. in Health Science from Illinois State University.

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Michael McCabe AIF® | NAPA CPFA®

President | Trinity Advisors 136 N Church St. | West Chester, PA 19380

BUSINESS STATISTICS

Retirement Plans: 30 Retirement Assets: $250,000,000 Participants: 4,000

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.

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Patrick Mckiernan NAPA CPFA® Senior Vice President | RBC Plan Resource Group 300 North Lake Ave., Ste. 1010 | Pasadena, CA 91101

BUSINESS STATISTICS

Retirement Plans: 65 Retirement Assets: $3,700,000,000 Participants: 34,000

Team Name: RBC Plan Resource Group Retirement Plans: 65 Retirement Assets: $3,700,000,000 Participants: 34,000

MISSION STATEMENT 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) Professional® designation from the Retirement University at UCLA Anderson Business School and is a member of the Government Affairs Committee of the National Association of Plan 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.

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Ken Mergen CPC

Vice President - Group Retirement Plans | Retirement Plan Advisors 105 W Adams St. | Chicago, IL 60603

BUSINESS STATISTICS

Retirement Plans: 643 Retirement Assets: $4,680,920,392 Participants: 70,300

MISSION STATEMENT 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.

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Charles Merrick

AIF® | NAPA CPFA® | CRPS® | C(k)P™ Retirement Consultant | RCM&D 555 Fairmount Ave. | Towson, MD 21286

BUSINESS STATISTICS

Retirement Plans: 56 Retirement Assets: $950,000,000 Participants: 8,500

Team Name: RCM&D Retirement Services Retirement Plans: 56 Retirement Assets: $950,000,000 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.

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Matthew Monroe Managing Partner | Independent Retirement Partners LLC 5000 Brittonfield Parkway, Ste. 106 | East Syracuse, NY 13057

BUSINESS STATISTICS

Retirement Plans: 70 Retirement Assets: $260,000 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

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David Montgomery

AIF® | NAPA CPFA® | CRPS® | C(k)P™ Co-Founder & President | Fidelis Fiduciary Management 14502 N. Dale Mabry Highway | Tampa, FL 33618

BUSINESS STATISTICS

Retirement Plans: 60 Retirement Assets: $725,000,000 Participants: 11,000 Team Names: 1) Fidelis Fiduciary Management 2) Montgomery

Retirement Plan Advisors, a OneDigital Company Retirement Plans: 99 Retirement Assets: $2,500,000,000 Participants: 40,000

MISSION STATEMENT 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 Montgomery has over 16 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 Montgomery co-founded Fidelis Fiduciary Management, an outsourced ERISA 3(38) investment management firm providing a high-touch, highly customized service model, as well as heavy involvement with PEPs/ MEPs. In 2016 - 2021, David was named to NAPA’s Top Retirement Plan Advisors Under 40. He was also named to the Financial Times Top 401 Advisors list in 2018-2020. David has earned the following designations: Certified Plan Fiduciary Advisor (CPFA), from the National Association of Plan Advisors (NAPA); Certified 401(k) Professional (C(k)P), from The Retirement Advisor University at UCLA Anderson School of Management; Accredited Investment Fiduciary (AIF), awarded by the Center for Fiduciary Studies; and Chartered Retirement Plan Specialist (CRPS), awarded by the College for Financial Planning.

Some ways David gives back is by volunteering with organizations fighting against human trafficking, as well as as serving as President for his local benefits council, Florida West Coast Employee Benefits Council.

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W. Michael Montgomery AIF® | NAPA CPFA® | C(k)P™

Managing Principal | Montgomery Retirement Plan Advisors A OneDigital Company 14502 N. Dale Mabry Hwy., 200 | Tampa, FL 33618

BUSINESS STATISTICS

Retirement Plans: 100 Retirement Assets: $2,500,000,000 Participants: 40,000 Team Name: Montgomery Retirement Plan Advisors -

A OneDigital Co. Retirement Plans: 100 Retirement Assets: $2,500,000,000 Participants: 40,000

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.

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Janine Moore AIF | NAPA CPFA ®

P TO PA N NAOMEORS20

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®

SVP/Retirement Practice Leader

| HUB Retirement and Wealth Management 9731 Wortham Blvd. | Houston, TX 77065

BUSINESS STATISTICS

Retirement Plans: 38 Retirement Assets: $1,000,000,000 Participants: 25,000

Team Name: HUB Retirement and Wealth Management Retirement Plans: 138 Retirement Assets: $2,600,000,000 Participants: 52,000

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 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.

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Douglas Morash NAPA CPFA®

Consultant | Marsh & McLennan Agency 101 Huntington Ave | Boston, MA 02199

BUSINESS STATISTICS

Retirement Plans: 50 Retirement Assets: $136,106,671 Participants: 3,304

Team Name: MMA Retirement Services Retirement Plans: 1,670 Retirement Assets: $57,000,000,000 Participants: 925,000

BIOGRAPHY Doug works as a Consultant in Marsh & McLennan Agency’s New England Region Retirement Practice and is in charge of managing multiple client relationships. Doug has over 20 years experience in all aspects of retirement plans including, plan design, plan administration, investments, testing and employee engagement and financial wellness.

Prior to joining Marsh & McLennan Agency, Doug worked at MassMutual Retirement Services, Babson Capital, State Street Research and Putnam Investments in a variety of positions including relationship management, employee engagement, marketing and account management.

Doug earned his bachelor’s degree from the University of Massachusetts and his MBA from Boston College. Doug holds the FINRA Series 6, 7, 63 licenses and holds the CPFA® and CHSA® designations. He lives in Massachusetts with his wife and three children.

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Michael E. Morris CRPS® | C(k)P™ | NQPA

Managing Director | Pensionmark 7038 Hawkhurst | Cleves, OH 45002

BUSINESS STATISTICS

Retirement Plans: 29 Retirement Assets: $459,790,000 Participants: 8,700

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.

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, NQPA, CRPS®, C(k)P, has more than two decades of industry experience and has been recently named to both 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. 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 Nonqualified Plan Advisor (NQPA), Chartered Retirement Plan Specialist (CRPS®), and the Certified 401(k) Professional (C(k)P) designations. He earned a B.A. from Xavier University.

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Chris Moseley CRPS® | QPFC

Director of Business Strategy | Graystone Consulting 3280 Peachtree Rd., Ste. 1900 | Atlanta, GA 30305

BUSINESS STATISTICS

Retirement Plans: 45 Retirement Assets: $1,500,000,000 Participants: 30,000

Team Name: Graystone Consulting - Atlanta Retirement Plans: 85 Retirement Assets: $2,200,000,000 Participants: 45,000

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.

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Scott Moulton

AIF® | AIFA® | NAPA CPFA® Partner | Capital Management Group 612 Wheelers Farm Rd. | Miliford, CT 06461

BUSINESS STATISTICS

Retirement Plans: 75 Retirement Assets: $500,000,000 Participants: 12,000

Team Name: Capital Management Group Retirement Plans: 130 Retirement Assets: $2,500,000,000 Participants: 15,000

MISSION STATEMENT We believe in better serving our clients through our commitment to continuous growth and professional development. We build lasting relationships with our clients to create a course of action that helps meet their needs today and into the future.

BIOGRAPHY Scott is a graduate of Quinnipiac University with a Bachelor of Science degree in Marketing. Early in his career he achieved the Certified Fund Specialist (CFS) designation from the Institute of Business & Finance and later went on to become an Accredited Investment Fiduciary (AIF) as well as a Certified Plan Fiduciary Advisor (CPFA). In 2017 Scott became a Professional Plan Consultant (PPC) and in 2018 he became an Accredited Investment Fiduciary Analyst (AIFA). Scott has a Retirement Planning Specialist certificate from the Wharton School, University of Pennsylvania and is credentialed by Fi360 to deliver FEDC (Fiduciary Essentials for Defined Contribution Plans) training. Scott is a member of the National Association of Plan Advisors (NAPA), National Association of Insurance and Financial Advisors (NAIFA), the Million Dollar Round Table (MDRT) and Society for Human Resource Management (SHRM). He has been the recipient of the Five Star Wealth Manager award from Connecticut Magazine from 2010-2021. In 2017, and again in 2018, Scott was featured in the September edition of The Financial Times as a Top 401(k) Adviser.

Scott lives in Milford, CT with his wife & four children. He has been active in numerous charities & active in his community.

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James Moyes

AIF® | NAPA CPFA® | CRPC® | CFP® Managing Partner | RedStone Advisors, LLC 149 North 1200 East | Lehi, UT 84043

BUSINESS STATISTICS

Retirement Plans: 70 Retirement Assets: $300,000,000 Participants: 35,000

MISSION STATEMENT To make a meaningful difference in the lives of our clients

BIOGRAPHY James earned his BA with cum laude honors from Utah Valley State College in 2003, and graduated with a Masters of Business Administration from Utah State University in 2006. Prior to co-founding RedStone Advisors in 2008 James spent several years with Merrill Lynch in Provo, Utah. James has a special interest in working with all sizes of organizations in developing and maintaining effective retirement plans and helping their employees understand and utilize their employers retirement benefit. This led James to pursue both the Certified Plan Fiduciary Advisor (CPFA®) and Accredited Investment Fiduciary (AIF®) designations. Additionally James is experienced in working with wealth management clientele and is a CERTIFIED FINANCIAL PLANNER™ professional and Chartered Retirement Planning Counselor (CRPC®).

James has been featured in Forbes, Fortune and Money magazines, has been named to the Financial Times top Financial Advisors list for 6 consecutive years and was recognized at one of the National Association of Plan Advisors’ (NAPA) top 40 under 40 in 2016 and 2017. He has testified before the Utah State Senate Finance Committee and United States Senate Finance Sub-Committee on topics pertaining to the impacts of legislation on retirement plans, plan sponsors and plan participants.

James resides in Lehi with his wife and four girls. He is an avid wildlife enthusiast and enjoys spending time outdoors with his family hunting, fishing, hiking and almost anything else involving the outdoors. His 4 daughters are active in sports and keep James grounded and his priorities straight.

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Aksana Munoz AIF®

Lead Client Service Manager | BFSG 2040 Main St., Ste. 720 | Irvine, CA 92614

BUSINESS STATISTICS

Retirement Plans: 35 Retirement Assets: $3,500,000,000 Participants: 1000

Team Name: BFSG LLC Retirement Plans: 105 Retirement Assets: $15,000,000,000 Participants: 100,000

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.

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) Consultant (QKC) designation and is an Investment Advisor Representative of BFSG, LLC.

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Colin Murtha

NAPA CPFA® | CRPS® | CFP® First Vice President, Wealth Management Advisor | Merrill Lynch Wealth Management 2221 Washington Street | Newton, MA 02462

BUSINESS STATISTICS

Retirement Plans: 65 Retirement Assets: $150,000,000 Participants: 2,500

MISSION STATEMENT I focus on addressing the investing and fiduciary responsibilities of institutions as well as the wealth management needs of individual and families. I work closely with clients to determine their needs so that we can craft customized financial strategies to help them pursue their goals.

BIOGRAPHY Colin joined Merrill Lynch Wealth Management in 2011 and is focused on the financial health of successful, hard-working individuals and their families.

His team also possesses a deep understanding of the complicated financial needs of entrepreneurs and business owners — from financing and growing a business, to business succession strategies and corporate retirement plan benefits.

Colin is a 2002 graduate of The George Washington University with a B.A. in Philosophy. He also holds the CERTIFIED FINANCIAL PLANNER™ certification awarded by the Certified Financial Planner Board of Standards, Inc., the Chartered Retirement Plans SpecialistSM designation from the College for Financial Planning and the Certified Plan Fiduciary Advisor designation from the National Association of Plan Advisors.

Colin resides in Newton with his wife Lisa where he is an active member of the community. When his is not in the office or with a client he enjoys working out, golf, reading American history and listening to Frank Sinatra.

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Alexander Papson NAPA CPFA® | CFP®

Manager of Fiduciary Solutions | Schneider Downs Wealth Management Advisors, LP One PPG Place | Pittsburgh, PA 15222

BUSINESS STATISTICS

Retirement Plans: 103 Retirement Assets: $800,000,000 Participants: 12,000

Team Name: Schneider Downs Retirement Solutions Retirement Plans: 103 Retirement Assets: $800,000,000 Participants: 12,000

MISSION STATEMENT Schneider Downs Retirement Solutions strives to simplify the complexities of sponsoring and participating in a retirement plan. To that end, we offer a definable, measurable and repeatable process for governing a retirement plan that meets industry best practice standards and the requirements set forth under ERISA. Our specialized team of advisors and consultants provide objective advice and expertise to help plan sponsors govern their retirement plans appropriately, mitigate risk, improve participant outcomes, and support efficient and compliant plan operations.

BIOGRAPHY In his role at Schneider Downs Wealth Management Advisors, Alex works to develop and maintain retirement plan client relationships by helping plan sponsors and their employees navigate a successful retirement plan experience.

With a background as a fiduciary consultant and investment advisor to qualified retirement plan sponsors, Alex supports partner firms by providing comprehensive plan governance consulting and investment advisory services, which includes industry best practice standards and applicable regulatory requirements, risk mitigation, investment due diligence, plan optimization and employee financial wellness programs.

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Jason Colin Patrick

ACES

2021

NAPA’S TOP PLAN ADVISORS UNDER 40

AIF | NAPA CPFA | C(k)P™ ®

®

Principal | Fiduciary Advisors, LLC 895 Dove St., Ste. 300 | Newport Beach, CA 92660

BUSINESS STATISTICS Retirement Plans: 30 Retirement Assets: $300,000 Participants: 8,500

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. Jason 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, 2020 and once again in 2021, he was recognized by the National Association of Plan Advisors as one of the Nation’s Top 100 Advisors Under 40. In 2019 and 2020, 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. In 2019, Jason was quoted in U.S. News & World Report regarding inflation and investing in retirement, and in 2020, he was quoted in Yahoo Finance regarding saving in a volatile market environment, and in GoBankingRates and MSN Money regarding the election results’ potential impact on retirement plans.

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Daniel Peluse

ACES

2021

NAPA’S TOP PLAN ADVISORS UNDER 40

AIF | NAPA CPFA | CRPS | C(k)P™ ®

®

®

Executive Director | Wintrust Retirement Benefits Advisors 3815B Woodmont Lane | Nashville, TN 37215

BUSINESS STATISTICS

Retirement Plans: 180 Retirement Assets: $2,500,000,000 Participants: 58,000

Team Name: Wintrust Retirement Benefits Advisors Retirement Plans: 180 Retirement Assets: $2,500,000,000 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 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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Michael Perry

AIF® | NAPA CPFA® | CPC President | Retirement Advisors 17250 Dallas Parkway | Dallas, TX 75248

BUSINESS STATISTICS

Retirement Plans: 25 Retirement Assets: $342,000,000 Participants: 3,500

MISSION STATEMENT 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, longterm 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.

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Jeffrey Petrone AIF® | QPFC

Managing Director | SageView Advisory Group 1645 Palm Beach Lakes Blvd., Ste. 1200 | West Palm Beach, FL 33401

BUSINESS STATISTICS

Retirement Plans: 66 Retirement Assets: $2,698,568,409 Participants: 130,000

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

P TO PA N NAOMEORS20

W DVIS A

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20

Managing Director | Strategic Retirement Partners 801 Main St. | Buffalo, NY 14203

BUSINESS STATISTICS

Retirement Plans: 37 Retirement Assets: $803,000,000 Participants: 18,000

Team Name: Strategic Retirement Partners Retirement Plans: 839 Retirement Assets: $14,800,000,000 Participants: 251,000

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 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.

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Jim Phillips President | Retirement Resources 100 Corporate Place | Peabody, MA 01960

BUSINESS STATISTICS

Retirement Plans: 34 Retirement Assets: $1,200,000,000 Participants: 15,000

Team Name: Phillips/McGinn Retirement Plans: 34 Retirement Assets: $1,200,000,000 Participants: 15,000

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 2000 PGA Blvd. | Palm Beach Gardens, FL 33408

BUSINESS STATISTICS

Retirement Plans: 27 Retirement Assets: $300,000,000 Participants: 2,700

Team Name: Strategic Retirement Partners Retirement Plans: 800 Retirement Assets: $150,000,000,000 Participants: 225,000

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 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.

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Apryl Pope NAPA CPFA® | CFP® Advisor | Retirement Plan Partners 4555 Lake Forest Dr. #650 | Cincinnati, OH 45242

BUSINESS STATISTICS Retirement Plans: 10 Retirement Assets: $20,000,000 Participants: 2,000

MISSION STATEMENT Our Mission at Retirement Plan Partners is to serve those who are changing lives and making the world a better place. We serve as plan advisors for nonprofits by helping them design and implement a retirement plan tailored to fit the needs of their organization. We specialize in nonprofits because our founders consist of a former Peace Corps Volunteer and Firefighter who have dedicated their lives to service and truly value and respect the meaningful service that nonprofits offer to society.

BIOGRAPHY Apryl Pope is a CERTIFIED FINANCIAL PLANNER™ Professional and passionate teacher at heart. As a former Dave Ramsey SmartVestor Pro and Financial Peace University Coordinator, she is deeply rooted in the concept of building wealth by destroying debt and paying yourself first.

Apryl and her team specialize in and love working with nonprofits to help them design and implement a retirement plan tailored to fit the needs of their organization.

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Stephen Popper AIF® | QPFC

Managing Director | SageView Advisory Group 114 State St., Ste. 501 | Boston, MA 02159

BUSINESS STATISTICS

Retirement Plans: 10 Retirement Assets: $2,000,000,000 Participants: 20,000

Team Name: SageView Boston Retirement Plans: 149 Retirement Assets: $18,000,000,000 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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Doug Prince AIF® | AIFA®

CEO | ProCourse Fiduciary Advisors, LLC 1180 Medical Court | Carmel, IN 46032

BUSINESS STATISTICS

Retirement Plans: 25 Retirement Assets: $2,000,000,000 Participants: 25,000

Team Name: ProCourse Fiduciary Advisors, LLC Retirement Plans: 170 Retirement Assets: $5,000,000,000 Participants: 80,000

MISSION STATEMENT To make a difference in our community, with our clients and their employees, by improving the financial health of the lives we touch.

BIOGRAPHY Mr. Prince is Chief Executive Officer and a Principal at ProCourse Fiduciary Advisors, LLC. From his beginning as an Investment Advisor Representative to now, as CEO, client service has been of the utmost priority for him, serving as a significant draw to creating an independent investment advisory firm.

He understands how the intricacies of company plans are different from that of individual clients. The mastering of these complexities are what makes ProCourse the best fit for institutional clientele.

He graduated with his BA in Accounting at Northern Kentucky University having only a small insight as to how far his professional career would span.

He received his Certified Public Accountant (CPA) designation in Ohio. He has since testified as an expert witness before the ERISA Advisory Council.

Mr. Prince is a member of both the American Institute of Certified Public Accountants and Plan Sponsor Council of America’s Research Committee. He also serves on the Indiana Chamber of Commerce.

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Steven Puckett AIF® | NAPA CPFA® | CRPS® Principal | Gateway Retirement Consulting 900 South Avenue West | Westfield, NJ 07090

BUSINESS STATISTICS

Retirement Plans: 75 Retirement Assets: $1,250,000,000 Participants: 16,750

MISSION STATEMENT 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.

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Duncan Purvis

ACES

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NAPA’S TOP PLAN ADVISORS UNDER 40

AIF

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Advisor | BHS 3055 44th St. SW Grandville, MI 49418

BUSINESS STATISTICS

Retirement Plans: 65 Retirement Assets: $233,000,000 Participants: 3,000

BIOGRAPHY Duncan Purvis joined BHS Insurance in 2012 and serves as the Vice President of BHS 401k Consulting Services. He brings an extensive background and expertise in the investment and 401k field. Duncan had six years of service at New York Life and NYLIFE Securities before joining BHS. Duncan has the Accredited Investment Fiduciary (AIF) certification from fi360 and the LUTCF designation from The American College. Duncan volunteers on a few local Boards and is involved with coaching and refereeing within the local soccer community.

Duncan lives in Rockford with his wife and three children. He loves spending quality time with his family and watching the Detroit Lions.

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NEW

CERTIFICATE PROGRAM LEARN MORE AT NAPAESGK.ORG

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Pamela Raffaele CPC | QPA

Retirement Manager | ML&R Wealth Management 401 Congress Ave., Ste. 1100 | Austin, TX 78701

BUSINESS STATISTICS

Retirement Plans: 40 Retirement Assets: $311,000,000 Participants: 4,300

Team Name: ML&W Wealth Management Retirement Plans: 40 Retirement Assets: $311,000,000 Participants: 4,300

MISSION STATEMENT We believe in accountability and transparency, and operate as a fee-only 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 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.

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Jon Randall NAPA CPFA® Vice President/Investments | Stifel 28411 Northwestern Highway, Ste. 1000 | Southfield, MI 48034

BUSINESS STATISTICS

Retirement Plans: 32 Retirement Assets: $150,000,000 Participants: 3,300

Team Name: Coastal Financial Strategies Group Retirement Plans: 32 Retirement Assets: $15,000,000 Participants: 3,300

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 non-proprietary 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 Rd., Ste. 255 | Lisle, IL 60532

BUSINESS STATISTICS

Retirement Plans: 45 Retirement Assets: $1,500,000,000 Participants: 6,000

Team Name: The Ratay Group at Morgan Stanley Retirement Plans: 45 Retirement Assets: $1,500,000,000 Participants: 6,000

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.

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.

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Troy Redstone AIF® | NAPA CPFA®

Chief Behavioral Officer | PHD. Retirement Consulting 7500 College Blvd., Suite 500 | Overland Park, KS 66210

BUSINESS STATISTICS

Retirement Plans: 53 Retirement Assets: $274,000,000 Participants: 4,900

Team Name: PHD. Retirement Consulting Retirement Plans: 53 Retirement Assets: $274,000,000 Participants: 4,900

MISSION STATEMENT Healthy Retirement Plans should naturally produce Healthy Retirement Outcomes. We help employees retire better and we help employers sleep better.

BIOGRAPHY Troy is an independent retirement consultant, public speaker, published author, and behavioral finance expert. He works with employer sponsored retirement plans and financial wellness programs. 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 President 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 20year veteran of keynote speaking at conferences and seminars throughout the industry. Troy has published articles in a variety of magazines and newspapers, he is the author of “Repurposement” (©2019) and “401k Architecture” (©2021).

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 26 years and an Aussiedoodle.

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Julie Reinhardt CPC | QPA

Retirement Plan Advisor | ML&R Wealth Management 411 W. Main St., Ste. 300 | Round Rock, TX 78664

BUSINESS STATISTICS

Retirement Plans: 40 Retirement Assets: $311,000,000 Participants: 4,300

Team Name: ML&R Wealth Management Retirement Plans: 40 Retirement Assets: $311,000,000 Participants: 4,300

MISSION STATEMENT We believe in accountability and transparency, and operate as a fee-only 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.

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Ashley Rowe AIF®

Senior Account Manager | Lockton Financial Advisors 1801 K Street, NW | Washington, DC 20006

BUSINESS STATISTICS

Retirement Plans: 45 Retirement Assets: $6,000,000,000 Participants: 30,000

Team Name: Lockton Investment Advisors, Northeast Series Retirement Plans: 194 Retirement Assets: $21,595,000,000 Participants: 250,000

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

BIOGRAPHY Senior Account Manager focusing on plan design, plan reporting, and a compliance expert with a strong financial and managerial background. Over 12 years of experience in the financial services industry with 9 years dedicated to employer sponsored plans. Responsible for administrative support for investment reviews, managing compliance issues, and plan-related projects.

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Jim Sampson

AIF® | NAPA CPFA® | C(k)P™ Director, Retirement Advisory Services | Hilb Group Retirement Services 2000 Chapel View Blvd., Ste. 240 | Cranston, RI 02920

BUSINESS STATISTICS

Retirement Plans: 155 Retirement Assets: $442,500,000 Participants: 7,000

Team Name: Hilb Group Retirement Services Retirement Plans: 167 Retirement Assets: $460,000,000 Participants: 8,000

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.

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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Tina Schackman

P TO PA N NAOMEORS20

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Senior Retirement Plan Consultant / Principal | Benefit Financial Services Group (BFSG) 2040 Main St., Ste. 720 | Irvine, CA 92614

BUSINESS STATISTICS

Retirement Plans: 15 Retirement Assets: $4,500,000,000 Participants: 38,000

Team Name: Benefit Financial Services Group Retirement Plans: 85 Retirement Assets: $14,000,000,000 Participants: 300,000

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.

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 33607

BUSINESS STATISTICS

Retirement Plans: 60 Retirement Assets: $200,000,000 Participants: 3,000

Team Name: N/A Retirement Plans: 60 Retirement Assets: $200,000 Participants: 3,000

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

P TO PA N NAOMEORS20

W DVIS A

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20

Principal | 401K Resources 4835 E. Cactus Rd., Ste. 425 | Scottsdale, AZ 85254

BUSINESS STATISTICS

Retirement Plans: 35 Retirement Assets: $300,000,000 Participants: 7,000

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 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.

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Chris Schneider AIF® | C(k)P®

Director | TriBridge Partners 6721 Columbia Gateway Dr., Ste. 100 | Columbia, MD 21046

BUSINESS STATISTICS Retirement Plans: 60 Retirement Assets: $550,000 Participants: 5,000

Team Name: TriBridge Partners Retirement Plans: 110 Retirement Assets: $1,100,000,000 Participants: 12,000

MISSION STATEMENT To make a meaningful difference in the lives of the clients we serve by helping them to achieve their business and personal financial goals, using a team of skilled experts, practicing the highest ethical standards, and backed by superior resources and energy. We describe our firm as ‘Client-Driven.’ To us this means we will do what our clients need to have done to support the pursuit of their organization’s goals. We are privately owned by active Principals all of whom have direct client responsibilities. We are not beholden to outside investors, managers, or home office personnel and we make our client related decisions based on client needs.

BIOGRAPHY Chris is the Director of the Retirement Plan Services Division at TriBridge Partners. He spends his day focused on helping to educate clients on how to meet their fiduciary liability and educates on enhancing plan participant outcomes.

Chris has a passion for working with people and helping them to achieve their goals. With there being such a savings shortfall in the retirement world, he finds educating clients and helping them to better manage their goals to and through retirement to be very fulfilling. His belief that all hard working people deserve to experience retirement, is what motivates him each day. Chris is committed to going above and beyond to improve the retirement plan outcomes for his clients.

With over 15 years’ experience in financial services his experience is broad, and he has worked with a range of products. Some of the products he has worked with throughout his career are; alternative investments, mutual funds, retirement plans and variable annuities.

Chris’ wealth of knowledge and expertise on the recordkeeping side of the retirement plan business is a real benefit to our clients.

Chris is a loving father and husband, who has a passion for sports, music and people.

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October 24-26 Dallas, TX

REGISTRATION

OPEN nqpaconference.org ENHANCE | EXPAND | DIFFERENTIATE

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ADVISORS

Joshua Schwartz AIF®

President | Retirement Plan Advisors 105 W Adams St., Ste. 2175 | Chicago, IL 60603

BUSINESS STATISTICS

Retirement Plans: 643 Retirement Assets: $4,680,000,000 Participants: 70,000

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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Brent Sheppard

ACES

2021

NAPA’S TOP PLAN ADVISORS UNDER 40

AIF | CRPS ®

®

Financial Advisor Cadence | Financial Management 10 Lake Center Executive Park | 401 Rt 73 North, Ste. 201 | Marlton, NJ 08053

BUSINESS STATISTICS

Retirement Plans: 68 Retirement Assets: $235,652,000 Participants: 5,709

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 non-qualified 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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Courtenay Shipley

P TO PA N NAOMEORS20

W DVIS A

AIF® | NAPA CPFA® | CRPS® | NQPA

20

Chief Planologist | Retirement Planology, Inc 950 N Washington Street | Alexandria, VA 22314

BUSINESS STATISTICS

Retirement Plans: 40 Retirement Assets: $265,000,000 Participants: 3,500

Team Name: Retirement Planology Retirement Plans: 55 Retirement Assets: $290,000,000 Participants: 3,800

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 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.

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Jordan Sibler NAPA CPFA®

Vice President - Financial Advisor | Janney Montgomery Scott 6700 Tower Circle | Franklin, TN 37067

BUSINESS STATISTICS

Retirement Plans: 30 Retirement Assets: $3,500,000,000 Participants: 140,000

Team Name: Tower Circle Partners Retirement Plans: 30 Retirement Assets: $3,500,000,000 Participants: 140,000

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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Kaci Skidgel

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President | Summit Financial Group, Inc 1350 S Boulder Ave. | Tulsa, OK 74119

BUSINESS STATISTICS

Retirement Plans: 99 Retirement Assets: $485,000,000 Participants: 10,000

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 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 sought-after 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.

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Thomas Small AIF® | NAPA CPFA®

Investment Portfolio Associate | Raymond James & Associates 1 Crosfield Ave. | West Nyack, NY 10994

BUSINESS STATISTICS

Retirement Plans: 25 Retirement Assets: 1,250,000,000 Participants: 11,000

Team Name: The Mahoney Group of Raymond James Retirement Plans: 50 Retirement Assets: 2,504,461,909 Participants: 22,000

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 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.

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Eric Smith AIF® | CRPS®

VP-Corporate Retirement Director | Morgan Stanley 300 Linden Oaks | Rochester, NY 14625

BUSINESS STATISTICS

Retirement Plans: 46 Retirement Assets: $530,000,000 Participants: 7,600

Team Name: The EWS Group at Morgan Stanley Retirement Plans: 46 Retirement Assets: $530,000,000 Participants: 7,600

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 is a Financial Advisor and fully licensed investment professional at Morgan Stanley with over 20 years of experience in wealth management and 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 is also the team leader of The EWS Group at Morgan Stanley.

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 and retirement plan participants. In 2015, 2016, 2018, 2019 & 2020 Eric was also recognized by Financial Times as a Top 401 Retirement Plan Advisor. In 2017, 2018 & 2019 The E.W.S. Group at Morgan Stanley was recognized as one of the Top DC Advisory Teams by the National Association of Plan Advisors (NAPA) and the American Retirement Association (ARA).

The EWS Group at Morgan Stanley manages over 50 corporate retirement plans and approximately $500M in assets

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Willam Snoke AIF® | NAPA CPFA® | CFP® Director | Greenberg, Wexler & Eig 4600 East West Hwy, Suite 875 | Bethesda, MD 20814

BUSINESS STATISTICS

Retirement Plans: 30 Retirement Assets: $155,000,000 Participants: 3,300

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.

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Alan Spierer AIF®

SRVP | UBS Financial Services 109 North Ave. | Westfield, NJ 07090

BUSINESS STATISTICS Retirement Plans: 70 Retirement Assets: $1,250,000 Participants: 5,000

Team Name: Northeast Financial Group Retirement Plans: 70 Retirement Assets: $1,250,000 Participants: 5,000

MISSION STATEMENT At UBS, we reimagine the power of people and investments to create a better world for all of us – a world that’s fair and sustainable.

Making connections is at the heart of what we do. Connecting people with each other. Connecting people with ideas that deliver results and drive progress and innovation. Connecting people with opportunities that change people’s lives and help to forge a more equal society.

From our Swiss roots to our global reach, and with 160 years of history, we know the true meaning of long-term commitment. We give the insight and advice to inspire, connect and empower people – to create better outcomes for today and future generations.

BIOGRAPHY Alan Spierer is a Senior Vice President at UBS Financial Services, Inc. and founder of the Northeast Financial Group, an Institutional Consulting Group at the firm. Alan has been a Financial Adviser for 32 years, the last 26 years with UBS, as a Senior Retirement Plans Consultant and Senior Portfolio Manager.

Alan has been working with his partner Christopher Zangari for 30 years. In 2014 both were both selected as one of the Financial Times 400 top financial advisors. The group services clients spanning various industries and has extensive experience in dealing with all the major retirement plan providers.

They service over 5000 employees and advise on close to $2B in qualified plans and individual client assets. Alan is also on two national industry advisory councils: The Retirement Advisor Council and the National Association of Plan Advisors. Alan’s current focus is providing guidance in industry best practices to to help businesses, both private and public, meet their fiduciary oversight responsibilities for improved plan governance and to prepare retirement plan participants for a dignified retirement. Alan resides in Essex County, NJ with his wife Abi. They have two children, Jessica & Mikayla.

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Jonathan St. Clair NAPA CPFA®

Chief Fiduciary Officer | SageView Advisory Group 5 Concourse Pkwy | Atlanta, GA 30328

BUSINESS STATISTICS

Retirement Plans: 49 Retirement Assets: $4,009,446,865 Participants: 47,675

Team Name: SageView South Retirement Plans: 100 Retirement Assets: $11,929,452,049 Participants: 123,051

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.

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Neal Stamper CFP® | C(k)P™ | QPFC

Corporate Retirement Director | Morgan Stanley 3280 Peachtree Rd. NE, Ste. 1900 | Atlanta, GA 30305

BUSINESS STATISTICS

Retirement Plans: 20 Retirement Assets: $500,000,000 Participants: 5,000

Team Name: Graystone Consulting - Atlanta Retirement Plans: 80 Retirement Assets: $2,971,060,939 Participants: 42,000

MISSION STATEMENT When you hire Graystone Consulting, a business of Morgan Stanley, you achieve the best of both worlds: A highly engaged investment boutique experience, backed by the full scale, extensive resources and oversight of a global financial powerhouse.

BIOGRAPHY Neal Stamper is a Corporate Retirement Director, Vice President and Financial Advisor with Graystone Consulting, a business of Morgan Stanley, in Atlanta, Georgia. Mr. Stamper has a focus on helping to provide support to the trustees of corporate retirement plans, as well as advising client families on financial planning, investment management and retirement income strategies. Mr. Stamper is often called upon to advise retirement plan committees on strategies to modernize their retirement benefit offerings, and works with committees to implement changes with the goal of transforming participant retirement outcomes.

Mr. Stamper joined Morgan Stanley in 1999, was named one of the firm’s Financial Planning Specialists in 2003, and earned the CFP® (CERTIFIED FINANCIAL PLANNER™) designation in 2006. Mr. Stamper 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, and earned the Qualified Plan Financial Consultant designation through the National Association of Plan Advisors (NAPA). Mr. Stamper graduated from Taylor University with a Bachelor of Science degree in Business.

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Craig Stanley NAPA CPFA®

Lead Partner, Retirement Plan Consulting | Summit Group of Virginia LLP 5029 Corporate Woods Dr., Ste. 200 | Virginia Beach, VA 23462

BUSINESS STATISTICS

Retirement Plans: 40 Retirement Assets: $850,000,000 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 As the leader of our 401(k) Consulting practice, Craig provides independent advice to plan fiduciaries and assists in the development of processes to achieve prudent investment management, proper fiduciary oversight, and overall employee success.

Craig is also a financial consultant and provides individuals, retirees, and retirement plan participants with comprehensive planning, education and analysis in an effort to assist them in attaining their financial and retirement goals.

He is a frequent author, speaker, and advocate in the retirement plan industry.

He has served on multiple industry-advisory boards across the country, including the Steering Committee for the retirement plan industry’s largest national convention.

Craig is a graduate of James Madison University where he earned a B.B.A. in Accounting. Prior to joining our firm, he began his career as a senior auditor with KPMG LLP and served as the Controller for one of the largest mortgage companies in the mid-Atlantic region

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David Stofer Managing Director | Mariner Wealth Advisors 5700 W 112th, Ste. 200 | Overland Park, KS 66211

BUSINESS STATISTICS

Retirement Plans: 44 Retirement Assets: $1,200,000,000 Participants: 8,000

Team Name: Mariner Wealth Advisors Retirement Plans: 325 Retirement Assets: $3,600,000,000 Participants: 24,000

BIOGRAPHY David is a Chartered Financial Consultant and Chartered Life Underwriter® professional. David helps ensure the delivery of quality retirement planning services to clients. With a focus on plan design, compliance and in-depth investment monitoring, he uses proprietary tools to analyze retirement plan performance and determine the most effective way for clients’ employees to maximize their retirement benefits. He also consults on a wide range of issues related to mergers and acquisitions and advises clients on the impact a corporate transaction might have on retirement benefits.

David has more than 30 years of experience in the retirement plan business and more than 10 years of experience advising on mergers and acquisitions. He specializes in 401(k), 403(b) and defined benefit plans and also has experience with nonqualified deferred compensation plans. Prior to joining the firm, he was a principal at SageView Advisory, where he helped plan sponsors meet their fiduciary obligations. David began his career as an administrator, drafting adoption agreements, filing 5500s and conducting discrimination testing.

David has a bachelor’s degree in finance and business administration from Kansas State University. In 2015, Mariner Retirement Advisors was recognized as one of the nation’s Top 100 Retirement Plan Advisers by PLANADVISER magazine.

David is a trustee of the Kansas State University Foundation and has been a member of the Retirement Advisor Council for four years.

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Patrick Sullivan NAPA CPFA®

Retirement Plan Consultant | Mariner Wealth Advisors 5700 W. 112th Street | Overland Park, KS 66211

BUSINESS STATISTICS

Retirement Plans: 30 Retirement Assets: $100,000,000 Participants: 2,000

Team Name: Mariner Wealth Advisors Retirement Plan Solutions Retirement Plans: 272 Retirement Assets: $3,241,782,846 Participants: 37,896

MISSION STATEMENT We want employees to achieve the freedom that comes from financial independence by providing them with the tools, plan design and a blueprint for success and always putting the client’s interest first, our employees second and the shareholders last. We do this by building retirement plans, with best in class investments, most up to date plan design, state–of–the-art record keeping and competitive cost. And when possible, we combine the retirement plan with a financial wellness program that puts employees in a position to take advantage of the retirement plan offered.

BIOGRAPHY Patrick provides client service and consultation to retirement plan sponsors and their participants. He also assists team members with employee education and retirement plan inquiries. Patrick works with wealth advisors in Mariner’s offices around the country assisting in the monitoring and service of their retirement plans.

Prior to joining Mariner Wealth Advisors full-time, Patrick participated in a summer internship with the firm. He has now been with the firm for three years.

Patrick has bachelor’s degrees in finance and journalism from the University of Kansas. He has successfully completed the Series 65 and NAPA CPFA.

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Chris Thomas

AIF® | NAPA CPFA® | CFP® MR | MacroView Investment Management LLC 5850 Waterloo Rd. #140 | Columbia, MD 21045

BUSINESS STATISTICS

Retirement Plans: 17 Retirement Assets: $150,000,000 Participants: 3,000

MISSION STATEMENT To protect and make plan sponsors more efficient so that we can make an impact on employees lives by building financial confidence and empowering them to take control of their financial future.

BIOGRAPHY Chris serves as the Director of Personal Wealth Management and Retirement Plan Consulting at MacroView Investment Management. He assists select business owners, executives and affluent families in the areas of estate planning, business succession planning and wealth management. In addition, Chris serves as MacroView’s corporate retirement plan specialist and helps companies recruit, retain and motivate talent by consulting with them on the design, implementation and administration of 401k, defined benefit and executive compensation plans.

Chris has been providing financial planning to families and businesses for over 15 years. He graduated from James Madison University with a degree in Finance. He has FINRA Series 6, 7, 65 & 63 registrations as well as his Life and Health license. Chris has consistently been recognized as a Five Star Wealth Manager, as featured in Baltimore magazine.

Chris currently lives in Woodstock, MD with his wife Jessica and three daughters.

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Randall Trost AIF® | CRPS® | QPFC

Financial Advisor | Morgan Stanley 1901 Main St., Ste. 700 | Irvine, CA 92614

BUSINESS STATISTICS Retirement Plans: 48 Retirement Assets: $900000000 Participants: 8,000

Team Name: THK Group at Morgan Stanley Retirement Plans: 48 Retirement Assets: $1,100,000,000 Participants: 8,500

BIOGRAPHY Randy is a Corporate Retirement Director, and Senior Investment Management Consultant. As a director, Randy is designated to work with clients in the areas of asset management, corporate retirement and executive benefit services. He began his career in the securities industry in 1983. After joining Morgan Stanley in 1989, he has worked with a variety of public and private corporations and business owners. As well as being a CFA charter holder, the Investment Management Consultants Association (IMCA) certified him as an Investment Management Analyst (CIMA). He earned the CIMA certification following course work and examination at the Wharton School of Business at the University of Pennsylvania. Specific to retirement plans, Randy earned the Chartered Retirement Planning Specialist designation (CRPS) from the College for Financial Planning, Qualified Plan Financial Consultant (QPFC) from the National Association of Plan Advisors (NAPA) and the Accredited Investment Fiduciary (AIF) designation from the Center for Fiduciary Studies. Randy belongs to National Association of Plan Advisors, Western Pension Benefits Council and the Chartered Financial Analyst Society of Orange County.

Randy resides with his family in Newport Beach, CA. He enjoys traveling and a variety of outdoor sports and activities.

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William Tschudy Consultant | Mariner Wealth Advisors 5700 W. 112th St., Ste. 200 | Overland Park, KS 66211

BUSINESS STATISTICS

Retirement Plans: 306 Retirement Assets: $3,496,476,864 Participants: 39,233

Team Name: Mariner Retirement Plan Solutions Retirement Plans: Retirement Assets: Participants:

MISSION STATEMENT We want employees to achieve the freedom that comes from financial independence by providing them with the tools, plan design and a blueprint for success and always putting the client’s interest first, our employees second and the shareholders last. We do this by building retirement plans, with best in class investments, most up to date plan design, state–of–the-art record keeping and competitive cost. And when possible, we combine the retirement plan with a financial wellness program that puts employees in a position to take advantage of the retirement plan offered.

BIOGRAPHY Provide service to plan sponsors and participants. A resource to plan sponsors, assist with employee education meetings and leads other projects to benefit clients. Before joining Mariner Wealth Advisors, I worked as a retirement analyst for Retiree Income, a fintech startup. Prior to Retiree Income, I served as an associate for US Bank Private Wealth Management and was responsible for collecting and analyzing financial statements to deliver a wealth summary plan to help ensure clients’ progress toward their goals

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Peter Tsukazaki AIFA® | QPFC

Managing Partner | TAO Investments Hawai`i 1299 South Beretania St., Ste. 220 | Honolulu, HI 96814

BUSINESS STATISTICS

Retirement Plans: 100 Retirement Assets: $660,000,000 Participants: 5,800

Team Name: TAO Investments Hawai`i Retirement Plans: 100 Retirement Assets: $660,000,000 Participants: 5,800

MISSION STATEMENT 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.

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Andrew Tufford AIF® | CFP®

Financial Advisor | Tufford-Hughes and Associates 4536 France Avenue South | Edina, MN 55410

BUSINESS STATISTICS

Retirement Plans: 25 Retirement Assets: $200,000,000 Participants: 2,150

Team Name: Tufford-Hughes and Associates Retirement Plans: 50 Retirement Assets: $500,000,000 Participants: 4,250

MISSION STATEMENT We are committed to helping clients find retirement success through goalsbased planning.

BIOGRAPHY Andrew has been in the financial services industry since 1991, working previously in corporate financial and operational roles. He joined Tufford-Hughes & Associates as a financial advisor in 2008 and enjoys working with the firm’s unique blend of individual and business clients. Andrew earned a BA degree from St. Olaf College and an MBA from the University of Minnesota’s Carlson School of Management.

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Christina Tunison

AIF® | NAPA CPFA® | NQPA Senior Retirement Plan Consultant | Lifetime Companies 843 Quince Orchard Blvd., Ste. E | Gaithersburg, MD 20878

BUSINESS STATISTICS

Retirement Plans: 18 Retirement Assets: $135,000,000 Participants: 2,600

Team Name: Lifetime Companies Retirement Plans: 35 Retirement Assets: $290,000,000 Participants: 4,700

BIOGRAPHY Christina is the Senior Retirement Plan Consultant at Lifetime Companies, 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: Certified Plan Fiduciary Advisor (CPFA) and Nonqualified Plan Adviser (NQPA) 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 Broadridge Fi360. 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.

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Joshua Ulmer CRPS® | CIMA®

Executive Director | Graystone Consulting – Morgan Stanley 760 SW 9th Ave. | Portland, OR 97205

BUSINESS STATISTICS

Retirement Plans: 45 Retirement Assets: $1,900,000,000 Participants: 16,500

Team Name: Graystone Consulting – Portland Retirement Plans: 45 Retirement Assets: $1,900,000,000 Participants: 16,500

MISSION STATEMENT At the core of our consulting practice is an objective, disciplined and resultsoriented 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.

BIOGRAPHY Joshua Ulmer is an Executive Director and Institutional Consulting Director at the firm. He leads the Graystone Consulting Pacific Northwest team within Morgan Stanley. As the practice leader, Joshua is charged with overseeing all aspects of the fiduciary consulting process and client experience.

Joshua received his Bachelor of Arts in Business & Economics from Lewis and Clark College in 2001. He went on to complete the Certified Investment Management Analyst program at University of Pennsylvania’s Wharton School in 2005. In 2010 he earned the right to use the Chartered Financial Analyst designation after completing 3 years of study and examination. In 2012 he completed the Chartered Retirement Plan Specialist designation through the College for Financial Planning and in 2014 the Risk Management professional Certificate program at the New York Institute of Finance. In Spring of 2021 Joshua completed the LEAD Program at Stanford Graduate School of Business.

Joshua Ulmer is active within the financial services industry, he regularly contributes to, and participates in, industry news articles, events, panels, and product evaluation committees. He is presently a member of the CFA Institute, the Portland Society of Financial Analysts, the National Association of Plan Advisors, as well as a Member of the Investment Management Consultant Association. Joshua also serves on the Retirement Advisor Council of America.

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Chris Underwood NAPA CPFA®

Sr. Relationship Manager | Retirement Solution Group 328 S. Jefferson St., Ste. 420 | Chicago, IL 60661

BUSINESS STATISTICS

Retirement Plans: 30 Retirement Assets: $130,000,000 Participants: 2,500

Team Name: Retirement Solution Group Retirement Plans: 156 Retirement Assets: $935,000,000 Participants: 11,000

MISSION STATEMENT Retirement Solution Group [RSG] is a national Advisory, TPA, & Retirement Consulting firm with over $1B in AUM supporting more than 12,000 plan participants. We focus exclusively on supporting qualified retirement plans.

BIOGRAPHY With more than 10 years working in the retirement plan industry across multiple employers and roles I bring a wealth of knowledge and a unique perspective in supporting our advisory business practice, clients and plan participants. As the firm’s fiduciary business manager I oversee RSG’s advisory practice and am constantly seeking out opportunities for RSG to continue to develop and grow our firm as a leading practice in the retirement plan industry. Maintaining a leading fiduciary standard is a core principal of our practice and at the heart of everything we do at RSG. It is our view that no two businesses or individuals are the same. As a full-service retirement consulting firm we are able to construct unique plan designs that are both competitive and cost efficient for employers while simultaneously working with plan participants to construct individualized retirement plans to ensure all participants are able to reach their retirement goals. RSG justly is a one-stop shop for all things retirement.

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Sam Valeo

CRPS® | CFP® | CIMA® Corporate Retirement Director | Morgan Stanley 2211 York Rd. | Oak Brook, IL 60521

BUSINESS STATISTICS

Retirement Plans: 18 Retirement Assets: $600,000,000 Participants: 4,000

MISSION STATEMENT Assist plan sponsors implement sound fiduciary practices, create effective employee communications and savings programs.

BIOGRAPHY With more 25 years of investment experience as both a certified financial planner and retirement plan advisor, Sam Valeo is among a select few of Financial Advisors at Morgan Stanley to earn the Corporate Retirement Director title. His knowledge has earned him recognition throughout the retirement plan industry.

Since 1991, Sam has been dedicated to working with Plan Sponsors and advising on their retirement benefit needs. An experienced instructor, he began by teaching the employees at many Fortune 500 organizations about the benefits of their retirement plan, developed and taught a 7-week investment course for Wabaunsee Community College and Lyons Township. He is recognized as a leader in corporate retirement plans. He has been recognized

by The Financial Times as on of the Top 401 Advisors in the country every year since 2016.

A graduate of Eastern Illinois University with a B.S. in Finance, Sam went on to earn his CFP in 1996, and received the Certified investment Manager Analyst designation through the Wharton School of business at the University of Pennsylvania in 2002. He achieved the designation of Chartered Retirement Plan Specialist in 2008.

Sam is dedicated to improving the financial security of retirement plan participants. He is regular speaker at industry events such as PlanAdvisor Conference, Illinois CPA Society Pension Conference, and hosts a quarterly webinar briefing for PlanSponsor.

A native of Chicago, Sam currently lives in Hinsdale, Illinois, with his wife and their three children. In his leisure time, he enjoys travel, platform tennis and working on the family farm

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Daniel Venegas AIF®

Qualified Plan Specialist | WMS Equitable 2050 Main St. #520 | Irvine, CA 92614

BUSINESS STATISTICS

Retirement Plans: 150 Retirement Assets: $100,000,000+ Participants: 15,000+

MISSION STATEMENT What We Believe We are passionate about helping our clients Plan, Build, Protect, and Achieve.

Success doesn’t happen by accident; it takes planning, preparation, and discipline along the way. The greatest endurance athletes in the world live by these principles. We see life as the greatest endurance race of all time – one that we all must run. The results of tomorrow largely depend on our actions today. We want to help you plan for your future, protect your loved ones and your business today, and achieve whatever success means to you.

BIOGRAPHY Daniel C. Venegas is a registered representative who offers securities through Equitable Advisors, LLC (NY, NY 212-314-4600), member FINRA, SIPC, and an agent who offers annuity and insurance products through Equitable Network, LLC. Equitable Network conducts business in CA as Equitable Network Insurance Agency of California, LLC; in UT as Equitable Network Insurance Agency of Utah, LLC; and in PR as Equitable Network of Puerto Rico, Inc. Investment advisory products and services offered through Equitable Advisors, LLC, an investment advisor registered with the SEC. Equitable Advisors and Equitable Network are affiliated companies and do not provide tax or legal advice. Representatives may transact business, which includes offering products and services and/or responding to inquiries, only in state(s) in which they are properly registered and/or licensed. Qualified Plan Specialist title awarded by Equitable Advisors, based upon successful completion of an internal training program and written assessment. Daniel Venegas attained the AIF credential in 2017. Attainment of the AIF credential demonstrates understanding of the Prudent Practices and methodology. Wealth Management Strategies, LLC is not owned or operated by Equitable Advisors or Equitable Network. For more information about Equitable Advisors, LLC you may visit https://equitable.com/crs to review the firm’s Relationship Summary for Retail Investors and General Conflicts of Interest Disclosure.

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Matt Watson

AIF® | NAPA CPFA® | CRPS® | C(k)P™ | NQPA Vice President | NFP 1859 Summerville Ave., Ste. 600 | Charleston, SC 29405

BUSINESS STATISTICS

Retirement Plans: 40 Retirement Assets: $383,000,000 Participants: 5,300

Team Name: NFP Corporate Services (SE) Retirement Plans: 803 Retirement Assets: $282,000,000,000 Participants: 2,400,000

MISSION STATEMENT At NFP, our mission is to be trusted advisors and to provide solutions for our clients. That means developing mutually beneficial relationships that give our clients more freedom from risk and more peace of mind.

BIOGRAPHY Matt Watson, Vice President, Retirement, is based in NFP’s Charleston, South Carolina office and provides retirement and investment advisory services to plan fiduciaries and investment committees for both the private sector and not-forprofit organizations. His dedication to maintaining a position as a knowledgeable resource is seen in his earned designations which allow for him to continue to be a subject matter expert for others that can benefit from his professional insight on fiduciary direction and overall plan management.

Matt received his MBA and BS in Psychology from The Citadel. He currently holds designations as a Chartered Retirement Plan Specialist (CRPS®), Accredited Investment Fiduciary® (AIF®), C(k)P® Certified 401(k) Professional as well as being a Certified Plan Fiduciary Advisor (CPFA). He was recognized by the National Association of Plan Advisors (NAPA) in 2015 as one of the Top 50 Plan Advisors under 40.

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Patricia Wenzel

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Managing Director | Merrill Lynch 800 Capitol, Ste. 1900 | Houston, TX 77002

BUSINESS STATISTICS

Retirement Plans: 45 Retirement Assets: $1,500,000,000 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 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.

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Gerald Wernette AIFA® | C(k)P™

Principal, Director of Retirement Plan Consulting | Rehmann Financial 39300 W. Twelve Mile Rd., Ste.100 | Farmington Hills, MI 48331

BUSINESS STATISTICS

Retirement Plans: 220 Retirement Assets: $400,000,000 Participants: 12,000

Team Name: Rehmann Retirement Solutions Retirement Plans: 285 Retirement Assets: $1,000,000,000 Participants: 14,500

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 oneperson 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.

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Shawn West AIF® | NAPA CPFA® Founder / ERISA Director | CuraFin Advisors 15333 N Pima Rd., Ste. 200 | Scottsdale, AZ 85260

BUSINESS STATISTICS

Retirement Plans: 48 Retirement Assets: $160,000,000 Participants: 6,500

MISSION STATEMENT Where companies come to be more competitive, and retain their employees.

Where employees come to receive Financial Care Over a Lifetime.

BIOGRAPHY With almost two decades of ERISA plan management, fiduciary process, and legislative advocacy, Shawn is responsible for overseeing the firm’s strategic direction, client services, and growth. He has considerable experience with ERISA plan mergers & acquisitions, public and private companies from enterprise to small family businesses in all industries.

Shawn studied Psychology at Southern Illinois University, has obtained his series 6, 63, and 65 licenses, holds a Certified Plan Fiduciary Advisor (CPFA®) designation through the American Society of Pension Professionals & Actuaries (ASPPA), and Accredited Investment Fiduciary (AIF®) certification.

He is a member of the National Association of Plan Advisors (NAPA) and serves on their Governmental Affairs Committee. Shawn is a founding ambassador for TGen (Translational Genomics Research Institute), a member of PCH50 (Phoenix Children’s Hospital Foundation), and the Phoenix Business Journals’ Leadership Trust.

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Jerry Whitmire AIF® | CRPS® | QPFC

Financial Advisor | Morgan Stanley 333 John Carlyle St., Ste. 650 | Alexandria, VA 22314

BUSINESS STATISTICS

Retirement Plans: 23 Retirement Assets: $345,000,000 Participants: 3,300

Team Name: Bauer Whitmire Retirement Plans: 23 Retirement Assets: $345,000,000 Participants: 3,300

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.

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Charles Williams

AIF® | CRPC® | CRPS® | CFP® | C(k)P™ | NQPA CEO | Finspire, LLC 1515 Woodfield Rd., Ste. 840 | Schaumburg, IL 60173

BUSINESS STATISTICS

Retirement Plans: 45 Retirement Assets: $1,300,000 Participants: 25,000

Team Name: Finspire Retirement Plans: 52 Retirement Assets: $1,400,000 Participants: 26,000

MISSION STATEMENT To build and grow a team of like-minded, fiduciary-oriented professionals dedicated to maximizing the impact of corporate retirement plans for our clients and their employees.

BIOGRAPHY 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.

As the Finspire, LLC Chief Executive Officer and Senior Consultant, Chuck 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. Chuck 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.

Chuck is continually working to strengthen his industry knowledge and expertise. Chuck is a Certified Financial Planner (CFP), Chartered Retirement Plans Specialist (CRPS), A Certified 401(k) Specialist (C(k)P), an Accredited Asset Management Specialist (AAMS) and an Accredited Investment Fiduciary (AIF). 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.

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Allison Winge

NAPA CPFA® | QPFC | NQPA Executive Vice President | Plexus Financial Services, LLC 21805 W. Field Parkway #320 | Deer Park, IL 60010

BUSINESS STATISTICS

Retirement Plans: 93 Retirement Assets: $1,600,000,000 Participants: 39,000

Team Name: Plexus Financial Services LLC Retirement Plans: 93 Retirement Assets: $1,600,000,000 Participants: 39,000

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 nonqualified plans.

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 and benefits consulting, ERISA plan design and administration to Plexus Financial Services, LLC. Allison has vast 401(k) and ERISA plan design experience. Allison is committed to providing independent, objective, proactive advice on corporate retirement plan strategies. Furthermore, Allison 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, Allison was a Regional Vice President for Transamerica, where she consulted with thousands of plan sponsors and participants throughout her career.

At Plexus, Allison provides strategic direction for the practice and leads the practice growth and retention initiatives. Allison manages record-keeper, thirdparty administrator and investment relationships to ensure our clients achieve optimal outcomes. Allison assists her team in providing guidance in selecting and monitoring prudent platforms, investment menus, education initiatives and she assists Plan Sponsors in meeting fiduciary responsibilities.

Allison is a member of the Profit Sharing/401(k) Council of America Education Committee and the American Society of Pension Professionals & Actuaries and National Association of Plan Advisors.

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Heather Wonderly AIF | NAPA CPFA ®

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Partner + Director of Corporate Retirement Plans | Aldrich Wealth 5665 SW Meadows Rd., #200 | Lake Oswego, OR 97035

BUSINESS STATISTICS

Retirement Plans: 16 Retirement Assets: $792,782,166 Participants: 2,071

Team Name: Aldrich Wealth Retirement Plans: 70 Retirement Assets: $1,015,721,437 Participants: 9,542

MISSION STATEMENT Helping our clients achieve their goals.

BIOGRAPHY 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.

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Steven Wylam

AIF® | NAPA CPFA® | CFP® Partner | Shepherd Financial 111 Congressional Blvd. | Carmel, IN 46032

BUSINESS STATISTICS

Retirement Plans: 15 Retirement Assets: $250,000,000 Participants: 3,500

Team Name: Shepherd Financial Retirement Plans: 235 Retirement Assets: $3,500,000,000 Participants: 40,000

MISSION STATEMENT Helping people and companies thrive through empowered financial solutions

BIOGRAPHY A 1987 graduate of Purdue University with a Bachelor of Science degree in Consumer Financial Counseling and Planning, Steve has worked exclusively in the wealth management profession for over 30 years.

Working primarily with qualified plans, Steve has acquired expertise on matters relating to fiduciary guidance and support, plan design, participant engagement, investment selection and monitoring.

Looking to expand and create an elite firm, Steve (along with his partner since 2004, Tom Mayer) merged their practice with Drew Denny of Shepherd Insurance in 2015 - creating Shepherd Financial. Starting with a little over $550,000,000 in assets under advisement, collectively they have grown to over $3,500,000,000 in assets with a team consisting of over 26 highly skilled and talented individuals.

Through the years, the team at Shepherd Financial has been identified and received national recognition for their proven process and outstanding service from various organizations. They have constantly been named as Top 100 Retirement Plan Advisers by PLANADVISER magazine, Top Defined Contribution Advisor Firm by the National Association of Plan Advisors, and Financial Times 401 Top Retirement Plan Advisers. In 2017, Shepherd Financial was named and a Finalist for Retirement Plan Adviser Team of the Year by PLANSPONSOR magazine.

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Blade Zych Retirement Plan Consultant | OneDigital 301 E Pine St. | Orlando, FL 32801

BUSINESS STATISTICS

Retirement Plans: 40 Retirement Assets: $120,000,000 Participants: 7,000

Team Name: Team Chepenik Retirement Plans: 160 Retirement Assets: $1,900,000,000 Participants: 120,000

MISSION STATEMENT Our Brand Promise: We can do well by doing good. Unleash Business Growth and Empower People Potential. We can teach employers how to break away from a system that is stacked against them. This allows them to regain financial control and reinvest in the well-being of their people. The result? We help people do their best work AND live their best lives.

BIOGRAPHY As a Retirement Plan Consultant, Blade Zych works with retirement plan sponsors from various industries including For-Profit, Not-For-Profit, and Public entities with the goal of helping American’s retire with dignity. With experience on the Recordkeeping, TPA, and Payroll side of the business, Blade brings a diverse skillset to help aid plan sponsors in minimizing the burden of retirement plan administration. Blade is a fierce advocate on behalf of his clients, and he enjoys the challenge of solving the complex issues that plan fiduciaries face. Blade takes great pride in improving retirement plan outcomes for the participants of the organizations he interacts with.

As a lifelong native of Florida, Blade enjoys spending time outdoors, visiting the attractions, and traveling with his family. He is a former member of the men’s soccer team and graduate of Rollins College, where he completed his undergraduate degree along with the Crummer Graduate School of Business MBA program. Blade holds the Accredited Retirement Plan Consultant designation.

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Matt Cellini AIF®

Partner & Practice Lead | Greenspring Advisors 1 W. Pennsylvania Ave., Ste. 500 | Towson, MD 21204

MISSION STATEMENT Established in 2004, Greenspring is an independent, fee-only firm, specializing in holistic, progressive and unbiased investment advisory services to retirement plan fiduciaries, foundations, and endowments; and comprehensive wealth management services and financial planning to private investors.

Passion drives our efforts to put our clients’ needs first and help them navigate the complex financial journey that will result in their long-term financial wellbeing. As we enter the third decade since our firm’s founding, we have held true to the original vision for the firm – where we exist to serve them, not the other way around. Holding to this vision, we’ve experienced exceptional growth; starting as a team of two and now being recognized as one of the country’s top 100 financial advisors in the nation; and one of the top five largest registered investment advisory firms in Maryland.

BIOGRAPHY Matt is a Partner & Senior Financial Advisor in the firm’s Institutional Client Group. He joined Greenspring after working in a variety of finance and project management roles for Lockheed Martin and Booz Allen Hamilton.

Matt specializes in developing and managing corporate retirement plans by providing independent advice on fiduciary oversight, investment due diligence, fee-benchmarking, plan design and vendor management. Matt oversees the Institutional Practice which represents 130+ institutional clients, $4.5billion in assets and 50K+ plan participants.

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Jefferson Cheshier VP, Retirements | NFP 1250 Capital of Texas Highway, S | 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 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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Jennifer Doss CRPS®

Senior Director | CAPTRUST 4208 Six Forks Rd. | 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 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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Jim Doyle AIF®

Managing Director | JP Morgan Wealth Management 277 Park Ave., 13th Floor | New York, NY 10172

BIOGRAPHY Jim is a Managing Director heads the Institutional Retirement Plan Solutions group for J.P. Morgan Wealth Management. At J.P. Morgan, Jim is responsible for building all aspects of the Wealth Management organization’s institutional retirement plan services capabilities and managing the retirement plan solutions available to clients through the firm’s advisors. Prior to joining the firm in 2008, he was Senior Vice President at Aon Consulting where he served as the Senior Business Development Officer for the Defined Contribution and Investment Consulting Practices and was a member of the National Defined Contribution Leadership Council. Jim was also the founder and Principal of Aon Retirement Plan Advisors LLC, a Registered Investment Advisor providing investment analytical work for Aon’s qualified plan and large case deferred compensation plan clients, and President of Aon Annuities and Insurance Services, Inc. Jim has over 30 years’ experience in the financial services industry having held a variety of positions in sales, sales management, product development and management at both small and large financial institutions. He is an Accredited Investment Fiduciary® (AIF®) and received a BA in History from Fairfield University.

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Samuel Henson SVP – Director of Legislative & Regulatory Affairs | Lockton 444 West 47th St., Ste. 900 | Kansas City, MO 64112

BROKER DEALER / RIA

Lockton Financial Advisors, LLC

MISSION STATEMENT

Purpose - To be the worldwide value and service leader in insurance brokerage, risk management, employee benefits, and retirement services.

Commitment - To provide the most uncommon results and service in a most common business.

Goal - To help make our clients’ businesses better.

BIOGRAPHY 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, Plan Sponsor Magazine, 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 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 served as the 2019 ISCEBS President and currently serves on the IFEBP Corporate Board and CEBS Board of Directors. He also serves on the Policy Board and is Chair of the Retirement Task Force of the American Benefits Council, serves on the 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.

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Christian Mango AIF®

President | Financial Fitness for Life 11 Myrtle St. | Winchester, MA 01890

BROKER DEALER / RIA

Prime Capital and Qualified Plan Advisors

MISSION STATEMENT We empower employees to take control of their financial lives by helping them establish long-term goals, calculate retirement needs, establish retirement accounts and emergency funds, embrace appropriate investment responses to market fluctuations, and have greater retirement confidence.

BIOGRAPHY Christian Mango serves as President of Financial Fitness for Life. He joined the firm in 2018 as Executive Vice President, where he was responsible for the distribution and servicing of the Fiduciary Investment Trust portfolios and the Financial Fitness for Life operations.

Christian’s vision for Financial Fitness for Life is to empower employees to take control of their financial lives. By meeting employees where they are and designing programs around their specific needs, we are able to help them take the steps, big or small, that they are comfortable taking. And by reducing financial stress we’re helping employees improve their ability to plan for goals, develop the right financial habits and behaviors that promote good financial health, and ultimately attain financial security.

Christian has 23 years of investment industry experience. He was previously a Defined Contribution Consultant at BlackRock, and has held senior sales roles at Amundi Pioneer Investments, Touchstone Investments, Natixis Global Associates and Citigroup Global Asset Management.

Christian graduated from Lehigh University with a B.A. in Economics. He also received an MBA from Boston College. Christian was named one of the defined contribution industry’s top wholesalers by the National Association of Plan Advisors in 2014/2015/2016/2017.

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Vincent Morris AIF®

President | OneDigital Investment Advisors 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 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 ever-changing 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 Corporate Development | OneDigital Investment Advisors 12001 W. 132nd St. | Overland Park, KS 66213

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 brokerdealer. 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., Ste.206 | Miramar Beach, FL 32550

BROKER DEALER / RIA Commonwealth Financial

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 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 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 small-business 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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Amanda Potestato Managing Director - Guided Retirement Sales | Howard Capital Management 5816 Zuni Court | Denver, CO 80221

MISSION STATEMENT HCM Guided Retirement is a math-based, algorithmic system designed to provide company-sponsored retirement plans and their participants an active, personalized approach to investing. ‘Guided Retirement’ is a product of Howard Capital Management, Inc. (HCM), a SEC-registered investment advisory firm who has offered a variety of investment solutions, proprietary technology and wealth management for over 30 years.

BIOGRAPHY Amanda Potestato is the Managing Director, Guided Retirement Sales for Howard Capital Management. In this role, she is responsible for leading the team in their effort to build collaborative partnerships with Record Keepers, Plan Sponsors and advisors across the country.

Amanda has over 10 years of experience in the financial services industry.

Before joining Howard Capital, she served as Regional Planning Director at Edelman Financial Engines. Prior to that, she led strategic program and sales initiatives at E*Trade Advisor Services, and spent a few years wholesaling with National Planning Holdings and Jackson National. Amanda graduated Magna Cum Laude from Northwood University with a double major in Banking & Finance and Management. She has also passed the Series 6, 65, 63 and CO Life Insurance exams.

Prior to relocating to Denver, CO in 2011, Amanda grew up in New Baltimore, MI with her parents and 3 younger sisters. In her free time, Amanda enjoys golfing, trail running, spinning, outdoor time in the mountains, traveling and spending time with her friends and family.

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Craig Reid CFP® | QPFC

President | MMA Retirement Services 7015 College Blvd | 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, MMA Securities LLC and National Practice Leader, Retirement & Wealth at Marsh & McLennan Agency, Craig works closely with the National Strategy Team to execute short- and long-term strategies to achieve business objectives and ensure operational excellence. He establishes and leads the team’s long-term business strategy, direction and focus, while managing national-level relationships with external and internal partners. In addition, Craig works with regional leaders at MMA to ensure the retirement services and wealth management practices produce the desired results while remaining consistent with the overall strategy and mission expected at MMA.

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Patrick Rieck NAPA CPFA®

VP, Product Development | HUB International 2340 N. Cramer St. | Milwaukee, 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 300 N LaSalle St. | Chicago, IL 60601

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 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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Phil Troyer CCO | Resources Investment Advisors, LLC 4816 College Blvd. | 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 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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Lots of advisors claim to be retirement plan experts, NOW YOU CAN PROVE IT!

Get started today at NAPACPFA.ORG

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Capital Group I American Funds www.capitalgroup.com/advisor/retirement-plans.html Since 1931, Capital Group has helped investors pursue their goals by remaining true to our values and approach. They include a distinctive way of managing assets, an emphasis on research, a long-term view and a recognition of the power of relationships. Defined contribution plans rely on our investment and recordkeeping solutions to help them meet their fiduciary requirements.

Today, we’re one of the world’s largest investment management organizations, managing more than $2.3 trillion.

Mark Dence

John Doyle

Senior Vice President, Director of National Accounts E: mrad@capgroup.com C: 508.641.4774

SVP, Senior Retirement Strategist E: john.doyle@capgroup.com W: 410.736.1351 | C: 410.963.3729

Brendan Mahoney

Ryan Tiernan

Sr. VP, Sales Director E: bttm@capgroup.com W: 888.421.0037 | C: 617.645.3339

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Empower www.empower-retirement.com At Empower Retirement our mission is simple: We want to help people build a better financial future. As the second-largest retirement plan provider in the U.S., serving more than 12 million participants across 67,000 organizations, our innovative approach to retirement savings has proven to get results for plan sponsors and participants alike. We empower retirement savers by making the journey more personalized and less intimidating. We empower organizations with simplified administration and dependable service. And we empower our partners by bringing to life a shared commitment to the success of our mutual clients.

Among our latest innovative enhancements is our new Empower participant experience, which adds a new dimension to financial wellness that can help people see the bigger picture—so they can pursue their goals with confidence.

The experience offers a three-dimensional view of an individual’s entire financial picture, including current savings progress, projected retirement income, as well as outside assets, spending and debt.

The experience is anchored by sophisticated technology paired with personalized, one-on-one advice from financial professionals. Features include the ability to aggregate outside assets and liabilities into a comprehensive financial portal; intuitive graphic representations to help simplify budgeting, cash flow and debt paydown; and a personalized “next step” guide to help keep the savings journey on the right track.

Robert Holcomb

Christopher Johnson

Vice President, Legislative and Regulatory Affairs E: robert.holcomb@empower-retirement.com C: 913.664.0876

Consultant Relations Director E: christopher.johnson@empower-retirement.com W: 636.778.9384 | C: 314.805.1207

Brian Morris

Kerra Schroeder

Vice President, National Sales & Participation Engagement, Government Markets E: brian.morris@empower-retirement.com C: 917.797.8769

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Franklin Templeton www.franklintempleton.com Franklin Resources, Inc. [NYSE:BEN], is a global investment management organization with subsidiaries operating as Franklin Templeton and serving clients in over 165 countries. Franklin Templeton’s mission is to help clients achieve better outcomes through investment management expertise, wealth management and technology solutions. Through its specialist investment managers, the company brings extensive capabilities in equity, fixed income, multi-asset solutions and alternatives. With offices in more than 30 countries and approximately 1,300 investment professionals, the California-based company has over 70 years of investment experience and approximately $1.5 trillion in assets under management as of May 31, 2021.

Yaqub Ahmed

Gary Kleinschmidt

Director of Retirement Strategy E: Gary.kleinschmidt @franklintempleton.com C: 215.872.1317

Diane Rzepecki

DC Strategic Account Manager E: diane.rzepecki @franklintempleton.com W: 401.338.7238 | C: 617.697.6932

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Liam Grubb

Drew Carrington

SVP, Head of Investment Only Division-US E: yaqub.ahmed @franklintempleton.com W: 727.299.7009 | C: 617.308.0831

Vice President, Senior Retirement Plan Strategist E: liam.grubb@franklintempleton.com C: 516.236.2165

Head of Institutional DC E: drew.carrington @franklintempleton.com C: 404.771.1555

Jacquelyn Reardon

Craig Miller

Head of Retirement & Insurance Marketing E: Jacquelyn.Reardon @franklintempleton.com C: 610.212.1337

National Retirement Plan Strategist E: craig.miller @franklintempleton.com C: 727.220.9471

Colleen Tycz

SVP, Head of Retirement and Insurance Strategic Accounts E: colleen.tycz @franklintempleton.com C: 203.763.9754

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Goldman Sachs www.linkedin.com/showcase/goldman-sachs-assetmanagement Bringing together traditional and alternative investments, we provide clients around the world with a dedicated partnership and focus on long-term performance. As the primary investing area within Goldman Sachs, we deliver investment and advisory services for the world’s leading institutions, financial advisors and individuals, drawing from our deeply connected global network and tailored expert insights, across every region and market—overseeing more than $2 trillion in assets under supervision worldwide as of March 31, 2021. Driven by a passion for our clients’ performance, we seek to build long-term relationships based on conviction, sustainable outcomes, and shared success over time.

Joseph Hake

Rick Cortellessa

GSAM DCIO E: joe.hake@gs.com C: 303.250.1836

Regional Retirement Director E: rick.cortellessa@gs.com C: 203.414.4251

Erik Karpinski

Kyle Twiggs

National Sales Manager E: erik.karpinski@gs.com W: 802.383.4076 | C: 802.881.9441

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Vice President E: kyle.twiggs@gs.com C: 801.494.3918

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Invesco Invesco.com/dc In today’s dynamic retirement landscape, a more holistic approach is required to achieve optimized participant outcomes. As a DC investment partner managing approximately $150 billion1 in DC assets, Invesco offers a unique framework, the Circle of Action, to help plan sponsors, advisors and consultants make decisions interdependently around four key areas – Investment Strategy, Plan Design, Participant Engagement and Plan Governance. Our DC capabilities span virtually all asset classes, styles and regions and are backed by the resources of Invesco Ltd., with $1.4 trillion1 in AUM and more than 8,000 employees worldwide.

Marina Edwards

Greg Jenkins

Senior DC Strategist E: marina.edwards@invesco.com C: 608.770.7658

Head of Institutional DC E: greg.jenkins@invesco.com C: 972.679.0303

Bill Schories

Paul Temple

National Sales Director - DCIO E: william.schories@invesco.com W: 732.739.1471 | C: 917.951.7020

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SVP E: paul.temple@invesco.com W: 908.415.4912 | C: 908.892.4460

Invesco. Data as of March 31, 2021. Total AUM figure includes all assets under advisement, distributed and overseen by Invesco Ltd.

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John Hancock retirement.johnhancock.com/us/en Consultative. Easy. Personal. Proven.

At John Hancock, we believe everyone has a right to a bright financial future, and we know that a workplace retirement plan is one of the best ways to pursue that goal. We take a hands-on, consultative approach based on the idea that no two plans—and no two plan participants—are exactly alike. We partner with plan advisors, consultants, and sponsors to ensure your plan: • Is easy to manage • Is personal to the participant • Delivers proven results¹ At John Hancock, we don’t just make retirement plans. We make retirement plans work.

Jack Barry

Abigail Benham

VP, Product Development E: jbarry@jhancock.com W: 617.663.3000 | C: 617.671.8710

Head of National Accounts E: abigail_benham@jhancock.com C: 860.614.5989

Jon Bourgault

Thomas Samoluk

Chief Counsel E: jon_bourgault@jhancock.com W: 617.663.2234 | C: 202.489.9511

Head of External Affairs E: tsamoluk@jhancock.com W: 617.633.2572 | C: 617.314.0953

Gary Tankersley

Head of Sales & Distribution E: tank@jhancock.com W: 617.572.4110 | C: 303.809.5764

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J.P. Morgan Asset Management jpmorganfunds.com J.P. Morgan Asset Management is a global leader in investment management, dedicated to collaborating with our clients in an effort to build stronger retirement plans. With approximately $2.3+ trillion* in assets under management, we provide a broad spectrum of investment capabilities across all asset classes.

As an award-winning retirement solutions provider, we are committed to getting more plan participants across the retirement finish line. Our understanding of participants’ risks and behaviors is unparalleled, allowing us to empower better decisions with industry-leading tools, products and insights. The breadth and depth of our capabilities make us a truly experienced partner as we help clients build stronger retirement plans.

Charlie Cote

Lathan Mahaffey

Managing Director E: charlie.cote@jpmorgan.com C: 201.679.8840

Managing Director E: lathan.c.mahaffey@jpmorgan.com C: 443.253.1300

Michael Miller

Head of Retirement Americas E: michael.d.miller2@jpmorgan.com C: 727.204.7825

*J.P. Morgan Asset Management as of 3/31/21.

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LPL Financial www.LPL.com 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 non-discretionary 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.

Andy Harper

Ted Hageman

SVP Retirement Partners E: andy.harper@lplfinancial.com C: 858.779.5733

VP, Retirement Partners E: ted.hageman@lplfinancial.com W: 858.779.5509 | C: 858.436.6784

Emily White

VP Retirement Partners E: emily.white@lpl.com W. 858.779.5733 | C: 774.218.9345

* Based on total revenues, Financial Planning magazine June 1996-2019 Member FINRA/SIPC

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Putnam Investments www.putnam.com/DCIO Putnam Investments is proud to be a sponsor of the NAPA DC Fly-In. We are active managers dedicated to helping individuals and institutions succeed.

At Putnam we believe that achieving high-quality performance depends on combining sources of excellence: • Highly talented investors • A positive and inclusive culture • A risk management framework And with more than 30 years of experience working with defined contribution plan sponsors, we have insight on the products, support, and service to help participants invest for their future. We offer: • A dedicated team of experienced DCIO professionals • An array of investment-only product solutions • Relationships with all major DC record-keeper platforms • Industry-leading service, accessibility, and market research The Putnam DCIO team is dedicated to providing comprehensive ongoing support to help you meet the needs of today’s plan sponsors and to help enhance your business building efforts. Our tool suite includes: • Prospecting for new clients with the advantages of PlanPro • Networking with plan decisions makers using LinkedIn • Consulting with plans sponsors through PlanVisualizer™ • Analyzing target dates with TargetDateVisualizer™

Mike Dullaghan

Angela Achatz

Director, DCIO Strategic Accounts E: angela_achatz@putnam.com C: 913.956.1013

DC Investment Specialist E: michael_dullaghan@putnam.com C: 540.354.3638

Steve McKay

Cathy Saunders

Head of DCIO E: Steven_Mckay@putnam.com W: 617.760.4838 | C: 508.320.8746

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T. Rowe Price www.troweprice.com/financial-intermediary/us/en/home.html T. Rowe Price Group, Inc. has been managing money since 1937 and, today, stands as a leading provider of investment management services. We offer providers a broad array of active U.S. and non-U.S. equity and fixed-income strategies, through both retail and institutional mutual funds. We emphasize proprietary, fundamental research; close attention to risk management; and consistency of style. We believe that by doing so, we can continue to provide the solid, long-term risk-adjusted performance investors have the right to expect. A financially sound, independent organization with strong employee ownership, T. Rowe Price Group, Inc. has $$1.518T in assets under management as of As of March 31, 2021.

Cheri Belski

Michael Doshier

Head of USI Retirement E: cheri.belski@troweprice.com C: 410.345.3848

Senior Retirement Strategist E: michael.doshier@troweprice.com W: 410.577.8738 | C: 508.2594430

Christie Loftus

Carey McKenzie

Head of Retirement National Accounts E: christina.loftus@troweprice.com C: 443.244.1832

Head of Retirement Advisory Relations E: carey.mckenzie@troweprice.com W: 410.345.4734 | C: 301.807.2856

Kim Zook

Head of DCIO Field Sales E: kimberly.zook@troweprice.com C: 410.707.9017

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Transamerica www.transamerica.com Transamerica is committed to helping American workers achieve a healthier, more secure retirement by creating the optimum opportunity for plan advisors, their clients, and participants to achieve brighter retirement outcomes.

We do this through an integrated approach that combines maximizing plan design with a supportive sponsor and advisor service model, a tailored participant engagement program, and a holistic set of additional financial services, that together will deliver improved retirement outcomes for participants and plan sponsors.

Tom Briggs

Wendy Daniels

Divisional Vice President E: Tom.Briggs@transamerica.com C: 303.882.5267

VP, Director of Retirement Strategy & Not-For-Profit Practice Leader E: wendy.daniels@transamerica.com W: 914.627.3241 | C: 914.291.6831

Robert Goldman

Stanley Kim

National Sales Manager E: Robert.Goldman@transamerica.com C: 203.470.8917

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MCF Advisors

HighTower Advisors

Mentoro Group, LLC

Howard Capital Management, Inc

Mesirow Financial

HSA Bank

Metz & Associates, PLLC

HUB International

MFS Investment

Human Interest

Management Company

Hurlow Wealth Management

MG Retirement Advisors

Group, Inc.

Millennium Trust Company, LLC

iCapital, LLC

Milliman

Income America

MissionSquare Retirement

IncomeConductor

Morgan Stanley

Independent Financial Partners

Morley Capital Management, Inc.

Insight Financial Partners, LLC

Morningstar, Inc.

Institutional Investment Consulting

MPI (Markov Processes International)

intellicents

Multnomah Group, Inc.

Invesco

Murray Securus Wealth Management

iraLogix, Inc.

Mutual of America Financial Group

IRON Fiduciary,

Mutual of Omaha

“A Creative Planning Offering”

Retirement Services

ISS Market Intelligence

Nashional Financial

J.P. Morgan Asset Management

Nationwide Financial

Janus Henderson Investors

Natixis Investment Managers

John Hancock Investments

Neuberger Berman

John Hancock Retirement

New York Life Investment

Plan Services

Management, LLC

Judy Diamond Associates (ALM)

Newport Group

July Business Services

NFP

Karp Capital Management

Nicklas Financial Companies

KerberRose Retirement Plan Services

North American KTRADE Alliance

Kestra Financial

Northwest Retirement

Kornerstone, Inc.

Plan Consultants

Latus Group, Ltd.

Northwestern Mutual

Lazard Asset Management

Note Advisors, LLC

LeafHouse Financial Advisors

NPPG Fiduciary Services, LLC

Lebel & Harriman, LLC

Nuveen Investments

Lee CPA Audit Group

October Three

Legacy Retirement Solutions, LLC

OneAmerica

Legacy 401k Partners, LLC

2 0 2 1

n a p a

OppenheimerFunds

d

.

c

.

f l y

-

i n

f o r u m

NAPA Firm Partners OurSphere

Shepherd Financial, LLC

PAi

Sierra Pacific Financial Advisors, LLC

Paychex, Inc.

Smith Bruer Advisors

PCS Retirement

Soltis Investment Advisors

Penchecks, Inc.

Spectrum Investment Advisors

Penn Investment Advisors

Stadion Money Management

Pensionmark Financial Group

State Street Global Advisors

Pension Resource Institute, LLC

Stather’s Financial Solutions, Inc.

Pentegra Retirement Services

Stifel

PIMCO

Stiles Financial Services, Inc.

Plan Notice

Stokes Family Office

PlanPro Solutions LLC

Stolzer Rothschild Levy LLC

Plexus Financial Services, LLC

Strategic Retirement Partners

Power of C4

Strategic Wealth Management, LLC

Precept Advisory Group

Sway Research, LLC

PriceKubecka

T. Rowe Price

Princeton Financial Consultants

TAO Investments Hawaii

Principal Financial Group

Taylor Wealth Solutions

Principled Advisors

The Cerrado Group

ProCourse Fiduciary Advisors, LLC

The Entrust Group

Procyon Partners, LLC

The Hebets Company

Prudential

The Pangburn Group

Questis

The Standard

Quintes Administrative

The Waterford Group

and Insurance Services, Inc

The Wealth Pool

Raymond James

Three Bell Capital LLC

RBC Wealth Management

TIAA

RBF Capital Management

Touchstone Retirement Group

RCM&D

Transamerica

Resources Investment Advisors -

TRAU

A OneDigital Company

Trinity Advisors

Responsible Asset Management

Trutina Financial

Retire Ready Solutions

Twelve Points Retirement Advisors

Retirement Clearinghouse, LLC

Two West Capital Advisors, LLC

Retirement Fund Management

Ubiquity Retirement + Savings

Retirement Learning Center

UBS Financial Services

Retirement Plan Advisors Ltd.

Vanguard

Retirement Planology

Venture Visionary Partners

Retirement Resources

Vestwell

Investment Corp.

Victory Capital

Robert W. Baird

Virtus Investment Partners

Rogers Wealth Group, Inc.

Vita Planning Group

Roush Investment Group

VOYA Financial

RPS Retirement Plan Advisors

vWise, Inc.

RPSS

Wells Fargo Advisors

SageView Advisory Group

Wilshire Associates

Saling Simms Associates

Wintrust Wealth Management

Schlosser, Fleming, & Associates LTD

Wipfli Financial Advisors, LLC

Schneider Downs Wealth

Wise Rhino Group

Management Advisors, L.P.

ZUNA, LLC

Schroders Securian Retirement

2 0 2 1

*As of July 15, 2021

n a p a

d

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c

.

f l y

-

i n

f o r u m

06/21

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