November 2 & 3, 2016
Michael Miller
Wellesley Asset Management
Marcia Wagner
The Wagner Law Group
Lathan Mahaffey
J.P. Morgan Asset Management
Joseph Ready
Wells Fargo Retirement
Charles Nelson Voya Financial
Industry Executives Offer Ideas and Strategy to:
Design a Winning Advisor Game Plan for 2017
Dennis Heinke Franklin Templeton Companies LLC
Jane Barratt
GoldBean Advisors
Todd Millay
Choate Investment Advisors
Tina Wilson
MassMutual, U.S.
Dave Caruso
Coastal Capital Group, LLC
Welcome to the New England Wealth Management & Retirement Conference Welcome to the New England Wealth Management and Retirement Conference. Thank you for attending and congratulations for being identified as a top wealth manager or retirement plan advisor in the region. The goal of the conference is to give you real world advice on managing your practice and to help you prepare a winning game plan to thrive in 2017. This is an “off the record� conference and the format is simple: ask candid, hard-hitting questions and demand honest feedback and advice. We want this conference to be interactive and valuable. Meet as many people as you can over the next two days to build your network and your wealth of knowledge. Stephen Moylan
President New England Wealth Management Conference
The conference will drill down into the most significant trends and challenges facing our industry. The panels and presentations will cover critical conversations and debate key issues surrounding government regulations, the use of technology, the latest product innovations, investment options, marketing initiatives, demographic trends, and more. We will cover industry forces that will accelerate your business for years to come or perhaps become the headwinds that stall your progress and stunt your business growth. The one key theme and consistent question you will hear on every panel is: What candid advice and real-world feedback can you give to the advisors on building a winning strategy and winning game plan for 2017? We look forward to helping you craft a winning game plan. Let’s kick-off to a great 2017! Stephen Moylan President, New England Wealth Management Conference
Agenda
November 2 & 3, 2016
Wednesday, November 2 11:30 a.m. – 12:30 p.m. Welcome Box Lunch in Sponsor Lounge
4:15 p.m. – 5:15 p.m. The Advisor of Tomorrow; Research, Statistics, and Real World Feedback with Linda York, SVP Syndicated Research and Consulting, Market Strategies International and Amy Glyn, Managing Partner GRP Advisor Alliance.
1:00 p.m. – 2:00 p.m. Welcome Remarks and Keynote Guest Speaker: Key Trends Driving the Industry and Big Opportunities in 2017, Tina Wilson, SVP Head of Investment Solutions Innovation, MassMutual
Linda York
Amy Glyn
Tina Wilson
5:30 p.m. – 7:00 p.m.
2:00 p.m. – 3:00 p.m. The Best and Brightest RIA’s in NE; Best Investments and Best Practices with Dave Caruso, CEO, Coastal Capital Group, Todd Millay, Managing Director, Chaote Investment Advisors and Chris Provo, President & CEO, Provo Wealth Management Group
Cocktail Party/ Stadium Tour with former Patriots Players Sponsored by Principal and Franklin Templeton Steve Grogan
7:30 p.m. – 8:30 p.m. Dave Caruso
Todd Millay
Chris Provo
Dinner sponsored by VOYA Introduction by Bill Kelly, Regional VP at VOYA
3:00 p.m. – 3:15 p.m. Coffee Break in Sponsor Lounge
3:15 p.m. – 4:15 p.m. Product Innovation in the Retirement Income Space (both IRA and 401k) with Dennis Heinke, Vice President, North America Product Strategy, Franklin Templeton Companies LLC, Brendan Mahoney, SVP American Funds and Matthew Cahill, JD, CFA, Senior Retirement Plan Consultant, MFA Asset Management
8:30 p.m. – 9:30 p.m.
Ann Compton
Dinner Guest Speaker: Ann Compton, ABC News Reporter and White House Correspondent discussing Inside the White House, Current Events and the 2016 Presidential Election
9:30 p.m. After Dinner Cocktails and Late Night Lounge at Renaissance Hotel Dennis Heinke
Brendan Mahoney
Matthew Cahill
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Agenda CONTINUED
Thursday, November 3 7:30 a.m. – 8:30 a.m.
11:35 a.m. – 12:35 p.m. CEO Round Table: Advice on Building Your Practice from the Top. Panelists include Lathan Mahaffey, EVP, JP Morgan, Charlie Nelson, CEO, VOYA and Dave Caruso, CEO, Coastal Capital Group, LLC
Registration and Breakfast in Sponsor Lounge
8:30 a.m. – 9:30 a.m. Washington DC Update, Rules and Regulations and Real World Issues Facing Advisors, The New Game Plan for Success with Marcia Wagner, President, Wagner Law Group, John Kibbe, VP Securian Retirement, and James L. Worrell, JD, Founder, Managing Director, Northeast Strategic Retirement Partners
Lathan Mahaffey
Charlie Nelson
Dave Caruso
12:35 p.m. – 1:15 p.m. Lunch break in Sponsor Lounge and Working Lunch Marcia Wagner
John Kibbe
James L. Worrell, JD
1:15 p.m. – 2:00 p.m. 9:30 a.m. – 10:30 a.m. Participant and Investor Research All Advisors Need to Know (inside the mind of Boomers and Millennials) with Joe Ready, EVP, Wells Fargo
Technologies That Will Rock Your World: From Mobile, and Big Data, to Social Media. Disrupt or be Disrupted. Jane Barratt, CEO, GoldBean Advisors, Paul Gillin, Author and Social Media Expert and Pete DiLorenzo, Partner, Chief of Staff and Director of Systems and Security, Shepherd Kaplan LLC
Joe Ready
10:30 a.m. – 10:45 a.m. Coffee Break in Sponsor Lounge Jane Barratt
10:45 a.m. – 11:35 a.m. Managing Risk and Volatility in Rising Rate Times with Michael Miller, Co-CIO, Principal, Wellesley Asset Management
Paul Gillin
Pete DiLorenzo
2 :00 p.m. – 2:45 p.m. Advice from the Experts, Best Practice Ideas for Rapid Growth with Ed Benway, President, Measured Wealth, LLC and Shawn Smith, Principal of Financial Advisor Placement Services, Joe Hosler, CFA, Managing Principal, Auour Investments
Michael Miller
Ed Benway
Shawn Smith
Joe Hosler
Speakers
Jane Barratt CEO, GoldBean Advisors Jane Barratt is the founder & CEO of GoldBean. She is a long-term investor and champion of financial literacy. Jane spent more than 20 years driving growth for Fortune 500 companies, including many Financial Services institutions. Her frustration with the disconnect between personal consumption (which drives the economy) and personal finance (from which only the wealthy benefit) inspired her to become a registered investment advisor, to apply a more empowered, personal and data-driven approach to investing. Extending the GoldBean mission to empower people to invest, Jane is also an author on Lynda.com and Investopedia.com
Ed Benway Founder & President, Measured Wealth Private Client Group, LLC Ed Benway is currently a President at Measured Wealth Private Client Group LLC, where he has more than 20 years of comprehensive estate and business planning along with strong leadership earned from six years in the United States Air Force. Mr. Benway has authored numerous articles on wealth management, estate, and business planning and is a regular guest lecturer for the New Hampshire Bar Continuing Education, where he discusses complexities of estate planning. Mr. Benway also hosts the widely recognized financial talk show Talking Money which airs across New England.
Matthew Cahill, JD, CFA Senior Retirement Plan Consultant, MFA Asset Management Matthew Cahill is currently a Senior Retirement Plan Consultant at MFA Asset Management, where he works with retirement plan sponsors and committees to ensure they are in compliance with ERISA’s rigorous standards. He is skilled in developing plan investment lineups and investment policy statements, conducting fiduciary and participant education, and guiding clients through the complex matters surrounding their retirement plans. His areas of expertise include selecting and monitoring plan investments as an ERISA 3(21) Fiduciary, retirement plan design and compliance, fiduciary and participant education, trusts, custody, fiduciary issues, vendor oversight and fee benchmarking.
Dave Caruso CEO, Coastal Capital Group, LLC Dave Caruso is the current CEO of Coastal Capital Group, LLC and is in his fourth decade in the advisory business. As an LPL-certified advisor, over the years Mr. Caruso has steered hundreds of clients
November 2 & 3, 2016
totaling hundreds of millions of dollars through three major crashes, five bear markets, four recessions, and countless major financial events. His skills have earned him significant recognition and he was named a 5-Star Wealth Manager in 2010 and 2011
Ann Compton ABC News Reporter and White House Correspondent Ann Compton joined ABC news in 1973 and was the first woman to become head of the White House press correspondence. With a highly respected broadcasting career that has spanned four decades and seven presidents, Ann brings an unprecedented wealth of knowledge to this year’s conference. Compton will be covering a variety of topics this year pertaining to the effects of politics in business. With all the changes and regulations coming out of Washington DC, Compton will give insights on the inner workings of the US capitol and how decisions are made in an election year. Both republicans and democrats will want to see this dinner presentation.
Paul Gillin Author and Social Media Expert Paul Gillin is a speaker, writer and B2B content marketing strategist who specializes in social media. He specializes in helping organizations understand and use social media to build their brands and strengthen customer relationships. Paul is the author of five books and more than 400 articles on the topic of social media and digital marketing. He was the social media columnist for B2B magazine for seven years and is currently a staff columnist at Biznology.com. He also writes regularly for the tech news site SiliconANGLE.
Amy Glynn Managing Partner, GRP Advisor Alliance Amy Glynn leads the development and deployment of best in class worksite solutions and programs for GRP Advisors and GRP Alliance members. Advisor services range from investment analytics and business management tools, financial wellness and rollover platforms, GRP products including collective trusts, and ongoing access to GRP conferences, programs and training. Ms. Glynn has played an active role on the in the retirement plan marketplace for over 20 years in corporate, entrepreneurial and volunteer capacities. A recognized thought leader, Ms. Glynn has been frequently published, is active on the national speaking circuit and has been nominated for 401kwires top 100 most influential people for six consecutive years.
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Speakers CONTINUED Dennis Heinke Vice President, North America Product Strategy, Franklin Templeton Companies LLC Dennis Heinke leads North America Regional Product Strategy for Franklin Templeton Investments, focusing on client needs and developing new and innovative product solutions for retail and institutional markets. Mr. Heinke joined Franklin Templeton in 2012 and previously held roles at RCM as Head of Hedge Fund Sales, Head of Product Specialist Team, and Technology Research Analyst. Mr. Heinke holds a Bachelor of Science in Chemistry at UCLA and post-graduate credential from Institute of Management Development, Lausanne, Switzerland.
Todd Millay Managing Director, Choate Investment Advisors Todd Millay is the Managing Director of Choate Investment Advisors, where he oversees the investment strategy. Mr. Millay works closely with Choate’s wealth management team of lawyers, tax preparers, and trusts and estates administrators to provide clients with integrated solutions to their wealth management needs. Prior to joining Choate, Todd was a partner at CCC Alliance, a consortium of family offices, where he was responsible for managing alliances, leading strategic projects and delivering member services. During this time, he also served as the founding Executive Director of the Wharton Global Family Alliance, the research center on family wealth and family business at the Wharton School.
John L. Kibbe-Senior VP Institutional Retirement Group-Securian Financial John Kibbe is the Senior Vice President of Securian’s Institutional Retirement Group. John is responsible for product development and distribution of Securian’s institutional retirement plan solutions. John has 20 years of investment and retirement experience. He started his career as an advisor and later managing director of an RIA focused on Investment and Fiduciary services to retirement plan sponsors. John is a graduate of Rollin College with a degree in Economics and holds the Accredited Investment Fiduciary Designation from the Center for Fiduciary Studies.
Lathan Mahaffey Head of Defined Contribution Investment Solutions Advisor Sales, J.P. Morgan Asset Manaqgement Lathan Mahaffey is the Head of Defined Contribution Investment Solutions Advisor Sales for J.P. Morgan Asset Management. Mr. Mahaffey has 23 years of retirement and investment experience delivering investment capabilities, market insights, retirement insights, and extensive resources to retirement focused financial advisors and consultants. He is a licensed Certified Financial Planner (CFP) and holds the Accredited Investment Fiduciary (AIF) designation from the Center for Fiduciary Studies.
Brendan Mahoney National Sales Manager, SVP, American Funds Brendan Mahoney is a current Senior Vice President and National Sales Manager at American Funds, a mutual fund family with more than $1.3 trillion in assets across 54 million investor accounts, and the third-largest of its kind. Mr. Mahoney has nearly 25 years of experience as a financial advisor and is an alum of Dartmouth University.
Greg Miller CPA, CEO & Co-Chief Investment Officer, Wellesley Asset Management Greg Miller co-founded Wellesley Investment Advisors (Wellesley) in 1991 to help clients address the challenge of pursuing investment performance while protecting their portfolios. Greg is the architect of the firm’s investment strategy and a national expert on convertible bonds. Recognized as a thought leader in the investment management world, Mr. Miller is a frequent guest speaker at various investment conferences and events, published author, and a frequent contributor to various investment and financial publications. Greg has been ranked a Top 100 Independent Investment Advisor by Barron’s for five consecutive years. In Barron’s August 2015 Top 100 list, he ranked #1 in Massachusetts for the second consecutive year and #8 nationwide. In March 2016, Barron’s ranked Greg #1 in Massachusetts in its list of the Top 1,200 Financial Advisors, also for the second year in a row.
Charles Nelson CEO of Retirement, Voya Financial Charles Nelson is CEO of Retirement for Voya Financial. In this role, he has become an expert in Tax-Exempt and Corporate Markets and Retail Wealth Management, which comprise the vast majority of the company’s workplace and individual retirement business, including 401(k), 403(b) and 457 plans. Mr. Nelson has more than 30 years of leadership experience in the retirement industry and he was recently named the second-most influential player in the 401(k) market, according to the 401(k) Wire’s 2012 Most Influential ranking list. Nelson is a graduate of Whitman College with a degree in chemistry and economics and was he was appointed to the Whitman College Board of Overseers in 2008.
November 2 & 3, 2016
Joseph Ready Executive Vice President, Wells Fargo Retirement Joseph Ready is an Executive Vice President at Well Fargo. In this role, Mr. Ready is Responsible for products and services for more than 5,200 retirement plans and custody accounts with 3.8 million employees, supported by more than 2,200 teammates. His leadership focuses on client services and relationship management, operations, technology, strategic business solutions, risk and compliance, and total retirement outsourcing.
David Shepherd CEO, Shepherd Kaplan, LLC David Shepherd is Co-Founder, Managing Member, and Co-Chief Executive Officer of Shepherd Kaplan LLC, with primary responsibility for the Institutional Advisory Practice. As Managing Member, David oversees the Firm’s investment research and fiduciary consulting resources. He also heads the Firm’s proprietary systems development strategy alongside Shepherd Kaplan’s in-house technology team. David has more than 25 years of experience in investment research, product development, and consulting to the pension, endowment, and foundation and family office marketplace. He advises the Investment Committees of numerous corporations on investment policy design, monitoring regimens and fiduciary compliance.
Shawn Smith Principal of Financial Investment Placement Services (FIPS) Shawn Smith is the Principal of Financial Investment Placement Services (FIPS), a premier placement firm for financial advisors in New England and across the United States. Mr. Smith started the firm in 2009, which over the years has placed hundreds of financial advisors with independent broker-dealers and RIA’s. FIPS represents over 70 broker dealers and RIA’s. The firm also assists with M&A deals and sells broker dealers and financial practices. Mr. Smith also has a long and successful track record helping financial advisors transition to Registered Investment Advisory practices.
Marcia Wagner, President The Wagner Law Group Marcia S. Wagner is a specialist in pension and employee benefits law, and is the principal of The Wagner Law Group – one of the nation’s largest boutique law firms, specializing in ERISA, employee benefits, and executive compensation. Ms. Wagner is recognized as an expert in a variety of employee benefits issues and executive compensation matters, including qualified and non-qualified retirement plans, fiduciary issues, all forms of deferred compensation, and welfare benefit arrangements. Ms. Wagner was appointed to the IRS Tax Exempt & Government Entities Advisory Committee and ended her three-year term as the Chair of
its Employee Plans subcommittee. Ms. Wagner is widely quoted in business publications such as The Wall Street Journal, Financial Times, Pension & Investments, and more, as well as being a frequent guest on FOX, CNN, Bloomberg, NBC and other televised media outlets.
Tina Wilson CFA, AIF, SVP Head of Investment Solutions Innovation, MassMutual U.S. Tina Wilson is Senior Vice President and head of the Investment Solutions Innovation organization within MassMutual’s U.S. operations. In this role, she is responsible for the strategy, ideation and design of institutional and investment products and solutions, including retirement plans and annuities. Tina also oversees the management of our investment platform and operations in order to deliver strong performance inside our customer solutions. Prior to joining MassMutual International, Ms. Wilson was responsible for the Fund Strategy within MassMutual’s Annuities and Retirement Services businesses. She is also a member of the Hartford CFA Society and the CFA Institute. Ms. Wilson has earned the Accredited Investment Fiduciary and Chartered Financial Analyst designations.
James L. Worrell, JD Founder, Managing Director, Northeast, Strategic Retirement Partners Jamie Worrell is a Managing Director and investment advisor for Strategic Retirement Partners who has built a successful retirement plan team and practice over the last 20+ years by helping employers and individuals get the most from their retirement plans and investment programs. Mr. Worrell has been recognized by PLANSPONSOR Magazine as the “2011 Retirement Plan Adviser of the Year” and a “Top 100 Retirement Plan Advisers”, by 401kWire as one of the “300 Most Influential” retirement plan advisors, and by Institutional Investor News as a “Rising Star of Retirement Plan Advisors.” Jamie is a frequent speaker and industry commentator for professional, association, and industry groups. Mr. Worrell regularly contributes to popular publications, including The Wall Street Journal, PLANSPONSOR/PLANADVISOR Magazines, Defined Contribution & Savings Plan Alert, and in local media.
Linda York SVP Syndicated Research and Consulting, Market Strategies International. Linda York leads the Wealth Management Syndicated Research & Consulting practice. She has over 20 years of experience in financial services spanning responsibilities in finance, marketing and business strategy. Before joining Market Strategies, Linda was the Practice Director of Syndicated Research at Cogent Research, where she managed the product development and execution process for syndicated research projects and consulted with dozens of clients in the retail and institutional wealth management space.
November 2 & 3, 2016
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