2017 PLANSPONSOR National Conference

EARLE W. ALLEN, MBA, CEBS Partner    Earle manages the relationships with several of our public and private academic institutions, as well as other non-profit organization employers in helping them fulfill their fiduciary responsibility to their plan and achieve best practices in plan administration.  He also acts as a senior level resource to a number of other Cammack Retirement clients.    In his executive role, he is responsible for the development, implementation and management of strategic initiatives in the overall delivery of services to defined contribution plan clients.  He oversees the procedures for production of Cammack Retirement Group’s quarterly Due Diligence reports and the recordkeeper searches we conduct via a Request for Proposal process.  He also leads the team that responds to requests for our advisor services.  Earle works out of our New York City office.  EXPERIENCE AND EDUCATION Earle joined Cammack Retirement Group in 1990 and has over 25 years of experience providing consulting and advisory services to defined contribution plan sponsors.  Earle has spent his career with Cammack Retirement Group, holding various positions both as part of the account servicing teams as well as leading the teams for the New York City office.  Earle received his Bachelor’s Degree from Dartmouth College and his Master’s of Business Administration degree from New York University’s Stern School of Business.

Bruce L. Ashton is a partner in the firm’s Employee Benefits & Executive Compensation Practice Group. With more than 35 years of practice, Bruce has gained wide experience representing clients in sophisticated business transactions and employee benefits matters. Bruce’s practice focuses on representing plan service providers (including insurance companies, broker-dealers, independent record-keepers, RIAs and third-party  administrators) in fulfilling their obligations under ERISA.  Bruce served as president of the American Society of Pension Professionals and Actuaries (ASPPA) for the 2003-2004 term and was a member of its board of directors from 1997 to 2007.  He has also served on the boards and as an officer of various other employee benefits organizations.  He is a frequent speaker and author on employee benefits topics, especially on fiduciary and prohibited transaction issues, and is the co-author (with his partner, Fred Reish) of four books.  Bruce was the recipient of the ASPPA Harry T. Eidson Award in 2011 for outstanding contributions to the retirement plan industry.

Daniel Bruns leads a strategic team focused on the large/mega-plan retirement market within Morningstar’s Investment Management Group. He is responsible for developing new solutions, conducting research, and consulting with clients on how best to leverage Morningstar’s suite of retirement solutions.    Bruns holds a bachelor’s degree in physics from Lewis University and a master’s degree from DePaul University, Kellstadt Graduate School of Business.

Jason Burlie is the Senior Vice President, Nonqualified Practice Leader for Prudential Retirement. Prior to leading the nonqualified consulting team, Jason led the company’s nonqualified client service and plan administration functions. With 20 years of executive benefits experience, Jason is a nationally recognized expert on nonqualified plan design, with experience across a diverse range of clients, from mid-market employers to the Fortune 100.

Bryan D. Burton, GPHR, SHRM-SCP Director, Human Resources – North America, Norican Group For two decades, Bryan D. Burton has dedicated his career to serving the human resources needs of manufacturers and the employees who make them great. Now, as director of human resources, North America, for Denmark-based Norican Group, Bryan leads initiatives designed to position human resources as a strategic business partner and a revenue-driving asset. His list of career accomplishments includes successfully overseeing the consolidation of HR policies and procedures following three acquisitions, implementing two different human resources information systems, developing human resources policies and procedures for the company’s first location in Mexico and participating in the development of Norican University, the company’s first-ever global training program. Under Bryan’s leadership as a fiduciary on the 401(k) Administrative Committee, Norican Group was designated as a finalist in PLANSPONSOR’s plan sponsor of the year in 2017. Bryan holds a bachelor’s degree in communications studies from Eureka College, Eureka, Ill., and a master’s degree in human resources and labor relations with certificate in international human resources from the University of Wisconsin-Milwaukee. Bryan enjoys spending time with his wife and their two rescue dogs.

Bradford Campbell, partner at Drinker Biddle & Reath LLP, advises financial service providers and plan sponsors on ERISA Title I issues, including fiduciary conduct and prohibited transactions. A nationally-recognized figure in employer-sponsored retirement plans, Brad is the former Assistant Secretary of Labor for Employee Benefits and head of the Employee Benefits Security Administration. As ERISA’s former “top cop” and primary federal regulator, he provides his clients with insight and knowledge across a broad range of ERISA-plan related issues. He also serves as an expert witness in ERISA litigation. Brad has been listed as one of the 100 Most Influential Persons in Defined Contribution by 401kWire and has been listed as one of the top 15 ERISA attorneys in the country by a poll of the National Association of Plan Advisors. In addition, he testified before three Congressional Committees regarding the effects of the Department of Labor fiduciary regulation.

Drew Carrington is a Senior Vice President, and leads Franklin Templeton’s defined contribution business within the U.S. institutional large market segment. His responsibilities include presenting the firm’s capabilities to existing and prospective DC clients and their consultants, as well as understanding and communicating the complex, evolving regulatory landscape of DC plans. Prior to joining Franklin Templeton in 2013, he served as head of the Defined Contribution and Retirement Solutions Group at UBS Global Asset Management, focused on developing investment solutions for large DC plans, particularly in the target date and retirement income categories. He joined UBS in 2005, as a senior fixed income client portfolio manager for UBS, where he worked closely with their Asset-Liability Investment Solutions team to design and implement the fixed income and duration overlay portions of asset-liability management strategies. Before joining UBS, he was a principal at Mercer Investment Consulting, where he worked with both public and private DB and DC clients. He began his career in the financial services industry in 1988.

JoeConnellis a Partner and Directorof RetirementPlanServicesatSikichFinancial.Joe hasbeenhelpingorganizationsmanageandenhancetheirretirementplan programssince1999.Hislong-termtrackrecordof successis aresultof workingwithhundredsofemployersinimplementingprudentprocesses designedtomanagetheirfiduciaryliability, reduceplanexpenses,meet specificplangoals andsignificantlyimproveparticipantretirement outlooks.Joeis afrequentandnationallyrecognizedspeakerandpresenterto employerandindustrygroups.Hehasconductednumerousretirement planworkshopseducatingemployersonthekeyelementsofsuccessful retirementplandesignandstructure.Joewasnamedthe2014RetirementPlanAdvisorof theYearby PlanSponsormagazine,whichhonors advisorsannuallywhobest representtheirmissionto helpmakeretirementsecurityarealityfor workersacrossthenation. Mr. Connell has earned the following industry designations:Accredited Investment Fiduciary(AIF®), From the Center for Fiduciary Studies at the University of Pittsburgh.  Qualified Plan Financial Consultant (QPFC), from the American Society of Pension Professionals & Actuaries (ASPPA) .Chartered Retirement Plans Specialist Designation(CRPS®), from the College for Financial Planning in Denver, CO RF™  (Registered Fiduciary) Designation, DALBAR- The Registered Fiduciary™ (RF™) certification identifies financial professionals that have achieved pertinent educational qualifications andlicenses,  learned required skills, and have passed a background check to serve in the important role of Fiduciary Adviser.   RF™ certified professionals are identified as having met the highest fiduciary standards in the financial industry.

Emily Seymour Costin is a partner in the Washington, D.C. office of Alston & Bird, where she focuses her practice on the defense of employment and employee benefits disputes and counseling employers, plan sponsors and fiduciaries on litigation avoidance strategies. Emily represents plan sponsors, insurers and fiduciaries in litigation over claims for benefits and breach of fiduciary duty under ERISA. She has experience litigating various types of ERISA disputes, including those involving 401(k)/employer stock, employee stock ownership plans (ESOP), benefit termination, investment/fee matters and individual benefit claims. She also represents clients in connection with government investigations for civil and criminal violations of ERISA. Emily is the chair of the ABA TIPS Employee Benefits Committee and a member of the ABA’s Joint Committee on Employee Benefits (JCEB). She is also a member of the editorial advisory board of the Benefits Law Journal. Emily was selected to the 2014 and 2015 Washington, DC Super Lawyers Rising Stars lists. She graduated with high honors from George Washington University Law School, where she was a member of the Order of the Coif.

Brandy’s has extensive experience with complex nondiscrimination testing, administration, government reporting and consulting on qualified and nonqualified retirement plans. She currently manages the team of professionals who are responsible for the completion of compliance tasks for defined contribution retirement plans, as well as the balance forward administration team. Additionally, she works closely with clients and staff in relation to various Internal Revenue Service and Department of Labor regulations, examinations and audits; as well as compliance correction issues. Brandy is currently serves on Milliman’s Quality Assurance Committee, and is part of the Milliman Experts Group.

Graduate of the University of South Alabama with a BS in Industrial Relations EXPERIENCE The SSI Group, Inc. – Human Resources Director The Shaw Group Inc. – Corporate Benefits Manager Walk, Haydel & Associates, Inc. – Human Resources Director The Louisiana Land & Exploration Company Corporate Manager of Benefits & Payroll McDermott, Inc. – Personnel Supervisor US Army – Captain EDUCATION, CERTIFICATIONS and ASSOCIATIONS University of South Alabama – BS in Industrial Relations SPHR (Senior Professional in Human Resources) – Lifetime Designation SHRM-SCP CHP – Certified HIPAA Professional Have held licenses for Life Insurance and an NASD Series 6 designation Board of Directors for Association of Employee Benefit Planners (AEBP) Board of Directors for HRMA of New Orleans

Terry Daugherty is responsible for consulting with relationship managers on DC plan design, investments and trends. Before joining American Century Investments in 2014, Terry was with J.P. Morgan Retirement Plan Services for more than 10 years, most recently as vice president, client relationship manager working with some of the firm’s largest institutional clients. Other roles include vice president, business development and vice president consultant relations. Terry has worked in the mutual fund industry since 1992. He attended Baker University and holds the designations of Chartered Mutual Fund Consultant (CMFC), Plan Sponsor Retirement Professional (PRP), as well as FINRA 6, 63 and 7 licenses.

Holly Donovan is a Marketing Manager for Invesco’s US defined contribution (DC) marketing team. In this role, Ms. Donovan is responsible for promoting the firm’s investment capabilities and DC thought leadership program supporting plan sponsors and consultants.Ms. Donovan joined Invesco in 2010 and has over 20 years’ experience in the DC market. Most recently she was with The Hartford where she was responsible for 401(k) product development. Prior to that, she was a Senior Account Executive with Principal Financial Group advising plan sponsors on investment menu and plan design and conducting employee education seminars. Ms. Donovan earned a BS degree in accounting from Central Connecticut State University and an MBA from Oglethorpe University. She is a member of the Defined Contribution Institutional Investment Association (DCIIA) and the SPARK Institute. She holds the Series 6, 7 and 63 registrations and the Certified Retirement Plans SpecialistSM (CRPS®) designation.

John Doyle is a senior vice president and a senior defined contribution strategist in the Retirement Strategy Group at American Funds, part of Capital Group. He has 29 years of investment industry experience and joined Capital Group in 2013. Prior to joining Capital, John was executive vice president and chief marketing officer for Hartford Investment Management Company. Before that, he worked as head of marketing and product at T. Rowe Price Retirement Plan Services and as a vice president of marketing at Fidelity Investments. John is a frequent speaker on issues and topics important to the success of the DC retirement system. He holds an MBA from the F.W. Olin Graduate School of Business at Babson College and a bachelor’s degree in economics from Georgetown University. John is based in New York.

Jamie Fleckner is a partner in Goodwin’s Financial Industry Practice and Chair of its ERISA Litigation Practice. Mr. Fleckner represents clients in a wide array of complex commercial litigation, with a focus on financial services and products, including investment management. He regularly litigates class and derivative actions under ERISA, the Investment Company Act of 1940, the Securities Exchange Act of 1934, and related federal and state laws. His practice also focuses on regulatory investigations and governmental proceedings, and has represented clients before the U.S. Department of Labor, Securities and Exchange Commission, Department of Justice, Pension Benefit Guaranty Corporation and state authorities. Mr. Fleckner’s success in litigating cutting edge legal issues has been profiled in The American Lawyer, Big Suits. According to The Legal 500 United States, Mr. Fleckner “is particularly strong, and is fast becoming a leader in ERISA fiduciary litigation involving financial products.” He has also been selected for inclusion in Chambers USA: America’s Leading Lawyers for Business and since 2015 has been recognized as a leading lawyer in the list of Who’s Who Legal: Pensions and Benefits. Mr. Fleckner represents companies and individual officers in class and derivative actions, regulatory investigations and bankruptcy proceedings regarding the discharge of Investment Company Act, ERISA and other fiduciary duties. Currently, he is representing numerous clients in so-called “excessive fee” ERISA and Investment Company Act litigation, and other litigation challenging the discharge of fiduciary obligations. His recent experience includes representation of: The investment adviser to three sub-advised mutual funds, with assets totaling over $40 billion, in a derivative suit brought under Section 36(b) of the Investment Company Act challenging the reasonableness of the fees charged. This litigation is ongoing. A company and the named fiduciaries of a $10 billion profit sharing plan in class action litigation asserting breaches of ERISA fiduciary duties and prohibited transactions as to the investments selected for the plan and the fees allegedly paid by the plan. This case has successfully settled. An investor in a $4.7 billion buy-out of a large energy company in multi-jurisdictional shareholder derivative and class action securities claims challenging the transaction. This litigation is on-going. A financial services company and the named fiduciaries of a $2 billion thrift plan in putative class action litigation asserting a number of alleged ERISA violations for the investments selected for the plan. This litigation is ongoing. A multinational diversified financial services corporation in litigation brought by a putative class of plan participants whose employers selected the client’s products and services for their plans, challenging as excessive the fees associated with such products under both the Investment Company Act and ERISA. This litigation is has been successfully dismissed.

Melissa Friedman-McCulloch is the Senior Partner for HR Portal & Content Innovation at MGM Resorts International with experience aligning HR operational objectives with innovative employee engagement strategies, specifically in Benefits and 401(k). Melissa wants a world where people live for today and plan for tomorrow by being proactive with their health and financial future. As a communicator with nearly 15 years of professional experience (and even more practical experience), Melissa has a knack for making difficult and technical concepts easy to understand. She began her career with MGM Resorts in 2004. Prior to her most recent role, a majority of her tenure was in Corporate Benefits. Melissa has developed the engagement strategy for many award winning campaigns and initiatives for benefits, health and wellness, and retirement planning programs. She holds a Bachelor of Arts in Journalism and Media Studies from the University of Nevada, Las Vegas. When Melissa isn’t driving the dynamic personalization of the Company’s HR Portal, you can find her living out her fantasy of being a 5’2” professional tennis player, arguing sports stats with her husband, or picking up cheerios that “mysteriously” appear daily on the floor mats of her car.

Tami D. Guimelli is an ERISA attorney with more than  25 years of experience in the retirement plan industry.  She currently leads the ERISA Services group which is part of the Benefits Consulting Group at John Hancock Retirement Plan Services.  Tami has extensive experience working with the IRS and DOL, as well as plan sponsors and financial advisors, on plan compliance and plan design issues in qualified and nonqualified retirement plans.

Brad Huss is a Director of the San Francisco law firm of Trucker Huss, A Professional Corporation, which practices exclusively in the fields of ERISA and employee benefits. Mr. Huss concentrates his practice on ERISA litigation, fiduciary responsibility matters, Department of Labor investigations and qualified pension and profit sharing plans. Mr. Huss has spoken numerous times throughout the country on qualified plan and fiduciary responsibility matters and has testified before the United States Senate Finance Committee concerning retirement security issues. Mr. Huss is a Charter Fellow and a former member of the Board of Governors of the American College of Employee Benefits Counsel. Mr. Huss is a past member of the Board of Directors of the American Society of Pension Professionals and Actuaries, a former chair of the Employee Benefits Committee of the Section of Tort Trial and Insurance Practice of the American Bar Association and a past President of the San Francisco Chapter of the Western Pension & Benefits Council.

Gene Huxhold is the Senior Managing Director for Investment Only Retirement Plans at John Hancock Investments. Gene brings more than 25 years experience to his role. Prior to joining John Hancock, Gene worked at CNA Financial, Kemper Investments (Predecessor to DWS) and Allstate Financial Services. He has held a variety of positions including Retirement Plan Wholesaler and National Sales Manager for both mutual fund and retirement plan wholesalers. Just prior to joining John Hancock, Gene was a senior vice president at Allstate, managing a large retail organization. Gene holds a BS in Finance/Personnel Management and an MBA in Economics from DePaul University. He is a Certified Financial Planner and an Accredited Investment Fiduciary. He has been recognized for his expertise by organizations such as NAPA and the Plan Sponsor Council of America. Gene is a Founding member of the Retirement Advisor Council. He has also testified before the House Ways & Means Sub-Committee on matters concerning non-profit retirement plans.

Mike Kane, is the Founder and Managing Director of Plan Sponsor Consultants. Plan Sponsor Consultants has office in Atlanta, DC, Maryland and Virginia, Birmingham, Michigan and Mobile, but advises retirement plans, nationally. Prior to entering the financial serves industry, Mike served as a Naval Officer. He is a graduate of Mount St. Mary’s University, and performed his graduate work at the George Washington University School of Business. Mike’s team was a 2017 Finalist for PLANSPONSOR Retirement Plan Team of the Year, a 2016 & 2017 PLANSPONSOR Top 100 Retirement Plan Adviser, and a Financial Times Top 401K Advisor for 2015 & 2016.

Dr. Punam A. Keller is a behavior change expert who works with companies, foundations, and government agencies that are interested in changing employees’ health and saving behaviors. Her work has included developing retirement saving initiatives by which state employers, recordkeepers and plan sponsors can better engage their plan participants and spur them to save. Drawing from behavioral economics, she helped 2017 PLANSPONSOR Plan Sponsor of the Year finalist Ohio Deferred Compensation, revamp its EZ-enrollment and SMarT auto-deferral-increase-enrollment forms. The result: Forms are shorter and easier to understand—and more participants are taking actions.

Kathleen Kelly, originally from Saratoga, NY, received her Bachelor of Arts degree in Economics from Wake Forest University.  She is a Founding and Managing Partner of Compass Financial Partners, LLC, and a 20 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) designation, and the Accredited Investment Fiduciary Analyst (AIFA) designation through the Center for Fiduciary Studies.  She is a member of the American Society of Pension Professionals and Actuaries (ASPPA), the National Association of Plan Advisors (NAPA), the Plan Sponsor Council of America (PSCA), and represented Compass Financial Partners as the recipient of the “2014 401(k) Advisor Leadership Award” (Sponsored by NAPA/ASPPA).**  A nationally recognized firm, the team at Compass Financial Partners was named to Barron’s 2015 inaugural ranking of Institutional Investing Consultants***, the 2013, 2014, 2015 and 2016 Pension & Investments Top Consulting listing****, the PLANADVISER 2013, 2014, 2015, 2016 and 2017 Top 100 Retirement Plan Advisers listing and was selected as a finalist for the 2015, 2016 and 2017 PLANSPONSOR Retirement Plan Adviser Team of the Year***** Award.   In further recognition of Kathleen’s leadership within the retirement plan consulting community, she has been selected to serve on the Principal Financial Professional Advisor Council, the Prudential Advisor Council, the MassMutual Retirement Partners Council, the Transamerica Retirement Solutions RIA Advisory Board, the JP Morgan DC Advisor Council, the Fidelity Workplace Investing Advisor Council, and the Retirement Advisor Council.  She is a frequent speaker at industry conferences and regularly quoted in trade publications. 

Jenny Kiffmeyer began her retirement services career with Universal Pensions, Inc. (UPI) in 1993 as an IRA and retirement plans technical consultant. At UPI she held the roles of consulting manager, managing editor and, following the BISYS acquisition of UPI, manager of ERISA content. In 2004, Ms. Kiffmeyer left BISYS to join the PLANSPONSOR Institute and, eventually, Retirement Learning Center in the role of director of educational content. She has a strong track record for producing award-winning educational content and regularly contributes articles to various industry periodicals and newsletters. She has played a key role in developing several professional certification programs in the retirement services industry for the American Bankers Association, PLANSPONSOR, the Retirement Income Industry Association, the Retirement Advisor University and the National Association of Plan Advisors. She also serves on the Consumer Advisory Board for the Pension Benefits Guaranty Corporation. Ms. Kiffmeyer is the co-author and editor of Retirement Learning Center’s book, Retirement Resource Guide: Essential ERISA Education & Best Practices for Financial Advisors, winner of multiple APEX Awards for publication excellence. In 2016, Ms. Kiffmeyer received her Juris Doctor (J.D.) from Taft Law School, specializing in ERISA law. She earned a B.A. in communications and anthropology from Luther College, has completed graduate work at Bemidji State University in Minnesota and maintains the Certified IRA Services Professional and Certified Retirement Services Professional designations from the Institute of Certified Bankers.

As a Senior Director in the Consulting Research Group of CAPTRUST Financial Advisors Phyllis and has overall responsibility for fiduciary issues, ERISA technical and regulatory issues and Participant Advice Services in supporting CAPTRUST’s advisors and clients. Phyllis has a Bachelor of Science from the University of Wisconsin-Lacrosse and has over 30 years of retirement plan industry experience, including plan design consulting, investment advisory support and fiduciary expertise.

Molly is a 401(k) Consultant with Sequoia Consulting Group, based in San Mateo, CA. She joined Sequoia in February 2016 due to their passion for customer loyalty and their reputation in the retirement plan industry. Prior to joining Sequoia Consulting Group, she spent 17 years in sales with several 401(k) vendors, most recently 6 of those years with MassMutual Retirement Services. Molly graduated with a BS in Psychology/Economics from Allegheny College. She is a registered representative with LPL Financial and an investment advisor representative with Global Retirement Partners. She holds a CA life license and has her Series 6, 63, 7 registrations with LPL Financial and Series 65 registration with Global Retirement Partners. Molly lives in Northern California with her husband, two sons and two dogs. She enjoys running, hiking, tennis, golf, and mostly, spending time with her family, friends and colleagues. Securities offered through LPL Financial, Member FINRA/SIPC. Investment advisory services offered through Global Retirement Partners, a registered investment advisor. Sequoia Consulting Group, Global Retirement Partners and LPL Financial are separate, non-affiliated entities.

Michael P. Kreps is a principal at Groom Law Group, where he counsels employers, plan sponsors, financial institutions, trade associations, and coalitions on retirement, health, tax, and employment matters. Mr. Kreps specializes in issues relating to public policy, fiduciary responsibility, and plan funding and restructuring. Previously, Mr. Kreps served as the Senior Pensions and Employment Counsel for the U.S. Senate Committee on Health, Education, Labor, and Pensions from the 110th through the 114th Congresses. In that role, he managed all aspects of the Committee’s retirement agenda and had primary staff responsibility for pension legislation, including the pension investment provisions of the Dodd-Frank Wall Street Reform and Consumer Protection Act, the funding stabilization and Pension Benefit Guaranty Corporation reform provisions of the MAP-21 Act of 2012, the Pension Relief Act of 2010, and the CSEC Pension Flexibility Act. He also led the Committee’s oversight of regulatory activities involving employee benefit plans. Mr. Kreps is a frequent speaker and writer on retirement and health policy. He holds a JD, with honors, from The George Washington University Law School and a BA, with distinction, in history and art history from the University of Colorado. He is active in his local community as a member of the Alexandria Commissions on Aging and Human Rights and is member of the Sorensen Institute Political Leaders Program’s class of 2015.

George Lambert is the Senior Manager of Business Development at LearnVest. He understands that financial stress is the number one cause of stress for employees, and is a growing concern for employers. George helped launch LearnVest@Work, an institutional financial wellness solution, and has provided this service to organizations across the US. George has a BBA from Loyola University in Maryland, a MS from Boston University, and a MBA from Babson College.

For more than 30 years, Bruce has been helping plan sponsors strengthen their employee retirement plans. He focuses his practice on delivering insights and results in three key areas within corporate retirement planning: sponsor and participant success, investment consulting, and fiduciary guidance. Bruce addresses several priorities for each relationship—clarifying client needs, identifying goals and implementing plan changes to drive outcomes. His engagements start with an analysis to understand the current state of an organization and its retirement plan. Plan design, the investment menu, fiduciary liability, fees, service providers and participant retirement readiness are all evaluated in order to outline where things are today and discuss opportunities moving forward. From there, he applies his experience and in-depth knowledge of the 401(k) to match client needs with strategies and partners that can best support their organization and employees. He has received national recognition for the work he is doing as several clients have been named the Plan Sponsor of the Year.

Shale is a graduate of the University of South Florida where he received his Bachelor of Science in Finance with a minor in Management Information Systems. Shale also holds a Master’s Degree in Theological Studies from Liberty University. Shale has over 13 years of investment industry experience.

Prior to joining CapTrust, Shale worked for Raymond James Financial Services on a high level management team specifically designed to handle finance-related projects. This team worked with members of the president’s office to create analytical tools that were used to assist consultants in servicing their clients.

Shale began his time with CapTrust in 2003 and was placed in charge of all quarterly investment reporting as well as research and analysis for the retirement plan practice. This role also involved assisting with plan design, employee education and mutual fund due diligence. Shale’s current role involves working directly with clients assisting them with all aspects of their retirement plan and offering recommendations as to where they can make improvements. In addition to his role servicing clients he also remains involved in employee education as well as fund and provider due diligence.

In 2016 and 2017 Shale was named one of the top 75 Retirement Plan Advisors in the country under the age of 40 by the National Association of Plan Advisors (NAPA).

David N. Levine is a principal at Groom Law Group, Chartered. He advises plan sponsors, advisors, and other service providers on a wide range of employee benefits matters, from retirement and executive compensation to health and welfare plan matters. Mr. Levine advises on the design and redesign of complex retirement, executive, and health and welfare plans; ongoing, day-to-day counseling of plan sponsors; in-depth compliance reviews of corporate and governmental benefit programs; products and compliance for retirement and health service providers and representation of tax-exempt organizations with respect to issues involving corporate governance, executive compensation, and unrelated business income tax liability. Mr. Levine was previously the Chair of the IRS Advisory Committee on Tax Exempt and Government Entities (2011-2013) and is currently a member of the Executive Committee of the Defined Contribution Institutional Investment Association and serves in a number of leadership roles in the American Bar Association Tax Section’s Employee Benefits Committee. Mr. Levine regularly speaks on plan design, fiduciary governance, and legislative issues and contributes a recurring column to NAPA Net — The Magazine. He is recognized in the Chambers USA guide for Employee Benefits & Executive Compensation. Mr. Levine received his J.D., from the University of Pennsylvania Law School and his B.A., with general and departmental honors, from Johns Hopkins University.

Robert Massa is the Director of Retirement for EPIC and the President of Ascende Wealth Advisers, Inc. (AWAI). Rob is a retirement professional with more than twenty five years of retirement industry experience. His primary responsibilities include practice management, SEC compliance, strategic investment direction, retirement consulting, employee education and development, financial wellness strategies and oversight of client engagements. Mr. Massa has a Bachelor of Arts in public administration and a minor in mathematics from the College of New Jersey. He is a licensed life/health representative, has passed the Series 7, 24, 63 and 65 securities exams, is a Chartered Financial Consultant (ChFC), a Certified Employee Benefits Specialist (CEBS), an Accredited Investment Fiduciary (AIF), a Certified Fiduciary Plan Advisers (CPFA) and Cash Balance Consultant (CBC). Rob taught employee benefits at St. Thomas University for the Certified Financial Planner© program. He has also been interviewed for various articles in U.S. News and World Report, The Motley Fool, Houston Business Journal, Institutional Investor, the Fiduciary News, TheStreet.com and CFO magazine and spoken at several regional and national conferences, including the PlanSponsor national conference and the International Society of Certified Employee Benefit Specialists annual conference. In 2016, Mr. Massa was named Retirement Adviser of the Year by Employee Benefit Adviser magazine.

Sean S. McLaughlin is head of Client Relations & Business Development for Prudential Retirement. In this role, McLaughlin oversees relationship management, key account management, actuarial consulting and support. He is responsible for driving strategies to deepen and strengthen Prudential Retirement’s relationships with its existing clients, increasing the company’s market share and positioning it as a leader in transforming the U.S. retirement landscape. Prior to leading the Client Relations & Business Development organization, McLaughlin was head of Strategy, Planning, Communication & Risk Management for Prudential Retirement. In this role, he oversaw enterprise-wide strategy, planning and risk management across all business lines, and managed Prudential Retirement’s strategic communication efforts, including legislative and regulatory initiatives. McLaughlin joined Prudential from the strategy consultancy McKinsey & Company, where he served as an engagement manager in McKinsey’s New York-based financial institutions group. In this capacity, he helped insurance companies, private equity firms and other financial institutions overcome critical strategic and organizational challenges. Earlier, McLaughlin spent seven years in the logistics industry, where he had profit-and-loss responsibility for sales and operations, leading a team of more than sixty associates. McLaughlin earned an AB in Psychology from Harvard College and holds an MBA from Harvard Business School. Sean serves on the Board of Directors for the Greater Hartford YMCA. He, his wife, and three children reside in Avon, CT.

Matt McOsker is a vice president of T. Rowe Price Retirement Plan Services, Inc. As a senior manager within the Product Management and Development Group, he is responsible for designing, implementing, and marketing new technology solutions. He is responsible for implementing user-focused best practices to effectively create digital experiences that promote retirement income success and is responsible for developing and communicating the Retirement Plan Services technology strategy. Since joining the firm in 1993, Matt has worked as a Participant Service Center representative and an employee meeting specialist. Matt earned a B.S. in geology from St. Lawrence University and Visual Basic and Java programming certificates from the Community College of Baltimore County. He is a Series 6, 7, and 66 registered representative. Matt also holds the Accredited Asset Management Specialist (AAMS®)

Dave Merkt, CBP, CCP is the Senior Manager, Retirement Plans for The Hershey Company. He has 24 Years of Human Resources experience, including the last 20 years focused in the employee benefits field. At The Hershey Company, he is responsible for the design, management, compliance, and communication of the Company’s qualified and nonqualified U.S., P.R., and Canadian DC and DB plans. Total Company DB and DC plan assets are just over $2 billion. Dave serves on the Company’s Employee Benefits Administrative Committee, Regional Benefits Committees, and the Canada Pension Committee. He previously served as Manager, Health & Welfare Plans for the Company. Prior to The Hershey Company, Dave worked as Benefits Manager for Harsco Corporation and Hershey Entertainment & Resorts Company. He started his career as the Human Resources Manager for Acorn Press, Inc. Dave has a B.S.B.A. in Human Resources Management from Shippensburg University. He also maintains the WorldatWork Certified Benefits Professional (CBP) and Certified Compensation Professional (CCP) designations. He has previously served as an Advisory Board Member for Pension and Investments DC East Conference.

Nate Nevas is Director, Global Financial Benefits and Administration with Pitney Bowes, a provider of global eCommerce solutions, shipping and mailing products, location intelligence, customer engagement and customer information management solutions. He leads the design, development and implementation of the qualified and non-qualified pension and 401(k) plans, as well as the deferred compensation and financial planning services programs. Additionally, he leads the team that manages the implementation and administration of Health & Welfare benefits including medical, dental, life, AD&D, legal, and relocation, and also serves as the HR project lead for North American M&A activity. Mr. Nevas holds a BA from Middlebury College and a Master of Health Services Administration from the University of Michigan. Pitney Bowes Inc. has approximately $1.5 billion in pension trust assets and $1.4 billion in defined contribution plan assets.

Daniel J. Peluse, C(k)P, CRPS, CPFA, AIF, CBFA Dan joined Wintrust Wealth Management in 2013 as Director of Retirement Plan Services and has been working in the financial services industry since 2001. He began his career at Morgan Stanley Smith Barney, where he specialized in retirement plans—specifically in the areas of Defined Contribution and Defined Benefit plans. Dan has been recognized for multiple honors by PLANSPONSOR & PLANADVISER Magazine, including being named a finalist for ‘Retirement Plan Adviser of the Year’ (2014, 2015 & 2016), one of five finalists for ‘Retirement Plan Adviser Team of the Year’ (2011), as well as one of their ‘Top 100 Advisers’ from 2010-2017. Dan has also been recognized by the Financial Times as a Top 401 Retirement Advisor (2015 & 2016) and by the National Association of Plan Advisors as a Top 50 Advisor under 40 (2014 & 2016) Dan graduated from Elmhurst College with a degree in Finance and has earned the designation of Certified 401(k) Professional (C(k)P) from The Retirement Advisor University and the Anderson School of Management at UCLA, Chartered Retirement Plan Specialist (CRPS) from the College of Financial Planning, Accredited Investment Fiduciary (AIF) from the Center for Fiduciary Studies, Certified Plan Fiduciary Advisor (CPFA) from the National Association of Plan Advisors and Certified Behavioral Finance Analyst (CBFA)through Allianz Investments and Professor Shlomo Benartzi of the Anderson School of Management at UCLA. He resides in Winfield, Illinois with his wife Ashley.

Al Pierce serves as the Managing Director for the Advisory Team responsible for delivering ongoing advice to SEI’s global institutional client base. Al’s team provides integrated investment strategy and funding/spending policy, asset allocation and plan design advice to SEI’s retirement and nonprofit clients.

Prior to joining SEI in 2003, Al spent 15 years at Wachovia Securities working in corporate finance, mergers and acquisitions and capital-raising activities. Additionally, he has worked for PricewaterhouseCoopers in public accounting.

Al is recognized as an expert in designing liability driven investing (LDI) strategies, asset allocation models and managing the impact investment decisions have on organizational finances. He has presented at a variety of industry events and has been interviewed by numerous media including: Reuters, Dow Jones, Financial Times, Pension and Investments and Investment Management Weekly.

He received a Bachelor of Science degree in Business Administration from the University of Richmond and holds a Certified Public Accountant license in the state of Pennsylvania.

Michelle L. Rappa, Managing Director and Head of DCIO Marketing, joined the firm in 2014. Michelle is focused on formulating and executing the firm’s overall defined contribution (DC) marketing strategy and promoting our institutional DC investment capabilities. Prior to joining Neuberger Berman, Michelle was the director of DC product and strategy at Russell Investments where she was responsible for the strategic product and marketing direction of the firm’s institutional DC business. Before that, she was the director of marketing at Seligman Advisors, Inc., where she was responsible for positioning the firm’s asset management and retirement plan products. Early in her career she was involved in building retirement plan products and marketing strategies at OppenheimerFunds and Oppenheimer Capital. She began her career at Shearson Lehman Hutton. Michelle is a FINRA licensed Registered Representative (Series 7), a Registered Principal (Series 24) and a member of the New York Bar. Michelle earned a BS from the State University of New York at Albany and a JD from Fordham University School of Law.

Joe Ready is executive vice president and director of Wells Fargo Institutional Retirement and Trust. In this role, Joe has responsibility for products and services for more than 5,000 employer-sponsored retirement plans and custody accounts with 4 million employees representing almost $750 billion in assets, supported by nearly 2,000 team members with a mission to help America’s diverse workforce prepare for a better retirement.

Joe has more than 30 years of leadership experience in relationship management, sales, investments, trust administration, operations, and systems. He has served in a variety of leadership roles in the institutional and investment areas including the mutual funds business, pension and employee benefits, and institutional custody.

He earned a bachelor’s degree from Franklin and Marshall College. Joe is active in the retirement industry as a speaker and participates in several executive industry trade groups and boards. He currently is Co-Chair of the Wells Fargo Bank N.A. Trust Committee. He is also president and board member of The SPARK Institute, Inc. Joe volunteers in the Charlotte, N.C. area with various charitable functions and is currently a board member on the College of Charleston Parent Advisory Council. Over the last several years, Joe has been named one of the 401(k) industry’s top 100 most influential people by 401(k)Wire.

Jeff Roberts serves as the national new business manager for ADP’s Executive Deferred Compensation practice. Jeff works with clients and prospects to develop, review and refine executive total rewards strategies which drive recruitment, retention and performance of the key employees who are responsible for business success.

Jean Roma is the Director of US Retirement and International Benefits for Citigroup. Jean joined Citi in May of 2004. Jean is responsible for the design, administration, and implementation of Citi’s US Pension and 401(k) plans. In addition, Jean manages Citi’s financial advice and education program in the US. Citi’s US pension plan covers approximately 225,000 current and former employees with more than $12 billion in assets. Citi’s US 401(k) plans cover 130,000 current and former employees in the US and Puerto Rico with approximately $12 billion in assets. Internationally, Jean is responsible for the global coordination and oversight of all Citi benefits to ensure appropriate governance and alignment with Citi’s benefit strategy. Citi has businesses in more than 100 countries globally with various medical and retirement programs. Previously, Jean worked as a consulting pension actuary with Kwasha Lipton specializing in the valuation, compliance and design of pension and post-retirement medical plans. Jean holds a BA in mathematics and history from Rutgers University. She is an enrolled actuary with the joint board for enrollment.

Michael Rosenberg is Head of Retirement Investment Solutions at First Eagle. He joined the firm in November 2016. In his role, Michael is responsible for distribution strategy for defined contribution assets, as well as sales, servicing and relationship management in the retirement market. Michael was previously executive vice president and director of investment-only defined contribution distribution for Prudential Investments. The team he managed worked with plan sponsors, consultants, financial intermediaries and retirement platforms around the country. Prior to Prudential, Michael spent nine years at Goldman Sachs as director of retirement services. He also spent one year at Capital Resource Advisors and 11 years at ABN AMRO marketing retirement plan services. Michael received a BS from Northern Illinois University and an MBA from Keller Graduate School of Management. He holds Series 7, 24, and 63 licenses.

Andrew W. Russell, Assistant Vice President Human Resources – University of Massachusetts System Office (UMSO) Andrew Russell serves as the Assistant Vice President, UMSO Human Resources for the University of Massachusetts President’s Office. Prior to transitioning to his current role in Human Resources in 2014, he had served as the Director of Risk Management and Insurance in the University Treasurer’s Office since 2005. Andrew initially joined the University in 2002 as a Capital Financial Analyst. Throughout the majority of his career at the University, Andrew has been very closely involved in the administration of the University’s supplemental retirement programs. Prior to joining the University, Andrew served in a variety of administrative positions within town and municipal governments, government consulting and human services organizations. He holds a B.A. degree from Hartwick College and an M.P.A degree from the University of Hartford.

Michael Swann serves as the Director, Defined Contribution Strategist, for the Defined Contribution Team within SEI’s Institutional Group. In this role, he is responsible for advising DC plan sponsors on goals-based retirement strategy through investment solution analysis, plan design best practices, and market trends. Michael specializes in institutional multi-manager investments, investment menu simplification, custom white label funds, and asset/liability analysis of proprietary and custom target date funds. Prior to joining SEI in 2011, Michael held positions at National Penn Investors Trust Company and Ascensus (formerly BISYS Retirement Services). Michael earned his Bachelor of Arts in economics from Gettysburg College.

Mr. Ulmer has spent his entire career in finance at Morgan Stanley (MS) or its predecessor companies, and has been focused on the pension marketplace since 2004. Joshua is a Director in the Corporate Client Group and holds the Senior Institutional Consultant designation, in addition to being a Senior Vice President. Joshua received his Bachelor of Arts in Economics and Business from Lewis and Clark College. He went on to get his CIMA through the University of Pennsylvania’s Wharton School of Business and a Certificate in Risk Management from the New York Institute of Finance. Mr. Ulmer is also a Chartered Financial Analyst, a rigorous global program attained over a minimum of three years’ study and examinations. He holds several other professional designations/accreditations, including the Chartered Retirement Plan Specialist through the College for Financial Planning, the Accredited Investment Fiduciary through the Center for Fiduciary Studies, and the Certified Behavioral Finance Analyst through the Allianz Global Investors Center for Behavioral Finance. Joshua has been the recipient of various forms of industry recognition, including but not limited to: 2017 PLANSPONSOR Retirement Plan Adviser of the Year; PLANADVISER’S 2017 TOP 100 RETIREMENT PLAN ADVISERS; Financial Times Top 401 Retirement Plan Advisors in 2015 and 2016; Barron’s 2017 & 2016 Top 1,200 Financial Advisors in America; National Association of Plan Advisers Young Gun list in 2017. In January of 2017, Mr. Ulmer was selected to serve as a council member for the Retirement Advisor Council of America.

Nathan Voris is managing director of Business Strategy for Schwab Retirement Plan Services. He leads the client experience, platform and product development strategies designed to help retirement plan sponsors, consultants and participants meet their goals.