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Saving the Best for Last

Conferences and Events

There’s an old saying about leaving the best until last. This may just do the trick.

That’s right, over the past several days we’ve outlined the long list of compelling topics and fascinating speakers lined up for the NAPA 401(k) Summit. At which point, one might well wonder – what’s left?

Well, here’s the answer – and all starting at 8:45 am on April 9:

Face “Plant”: How Those Creepy Facebook Ads Work and How You Can Use Them to Grow Your Retirement Plans Practice      

So, you’re minding your own business and browsing Facebook. Then, there it is again! Those shoes, in the size you wear, in the color you like, popping up as an ad in your Facebook feed. How does that happen? Cookies? Yep. But what else? And, more importantly, how can you use the power of the “Creepy Facebook Ad” to your advantage in your retirement plans practice? In this session, Spencer X Smith will both show you exactly how the technology works, and how you can implement the power of targeted digital marketing with Facebook, LinkedIn, Google and YouTube to grow your business. Facebook made over $5 billion in profit alone last quarter, and you'll see exactly why.

Great insights from Spencer X Smith, Founder, AmpliPhi.

Cyber “Nots”: Cyber Secure: Practical Considerations   

The retirement plan cybersecurity environment is evolving at accelerating pace. And while specific fiduciary cyber responsibilities are yet to be clearly defined, industry efforts are underway to apply analogous guidance and establish best practices in response to the growing need to strengthen protections for plan participants. No small wonder the Securities and Exchange Commission has made cybersecurity one of its examination priorities for 2019. This session will focus on the current regulatory framework, discuss where regulation and enforcement may be heading in the absence of specific ERISA guidance, talk about the breach types retirement plans are most susceptible to, and discuss a number of practical steps to assist plan sponsors in properly assessing and comparing retirement plan vendors and safeguarding participant information and savings.

With Alex Petrenko, QPA, QKA, SVP, Retirement Plan Consulting at Cetera Retirement Plan Solutions; Erez Liebermann, Chief Counsel, Cybersecurity and Privacy Vice President, Regulatory Law at Prudential Financial; Robert Gower, Director at Trucker Huss; and Ron Adams, VP of Fidelity’s Cyber Security Fraud Fusion Center.

Selling “Points”: Effective Advisor M&A (Part 2)

Advisor businesses are going to consolidate. Half of advisors’ businesses will change hands over the next 15 years. Come learn from advisors who have gone through transactions as they discuss the benefits of M&A activity and how deals are structured and potential hurdles to consider.

Insights from Abram Claude, VP of Learning Systems at Columbia Threadneedle Investments; Jim O'Shaughnessy, Managing Partner at Sheridan Road; Mary Caballero, Managing Partner at iMPACT Benefits & Retirement; and Mark A. Davis, QPFC, Senior Vice President and Financial Advisor, CAPTRUST.

The End of the Line: Moving participants from the accumulation to decumulation phase          

When thinking about the design of retirement income strategies, it’s important to evaluate potential solutions from both the participant and plan sponsor perspectives. This session will focus on two recent studies conducted by T. Rowe Price. First, we will look at what role(s) plan sponsors want to take when participants reach the retirement stage of their journey. Next, we will examine why individual behavioral risk preferences should play a role in retirement income strategy design. And finally, we will look at where our research intersects and how that can impact decisions around retirement income strategies.

Perspectives from Alexander G. Assaley, III, Managing Principal at AFS 401(k) Retirement Services; and Michael Oler, Retirement Income Product Manager at T. Rowe Price.

“Standard” Deviations: Rollover: Roles, Rules & Recommendations      

With 10,000 Baby Boomers retiring each day, plan distributions and rollovers are under the regulators’ microscopes. The DOL’s position is that fiduciary advisors also act as fiduciaries when making rollover recommendations, subject to the prudent man rule and prohibited transactions. The SEC’s proposed Regulation Best Interest for broker-dealers and proposed Interpretation for RIAs both say that rollover recommendations will be subject to the new best interest standard of care. How can those rules be satisfied? One of the nation’s foremost fiduciary experts will cover the care, loyalty and conflict requirements for those recommendations.       

With Fred Reish, Partner, Drinker Biddle & Reath LLP.    

Ethics Cull – Ethics Best Practices for Your Best Practice

Got ethical questions? Not sure where to draw the line(s)? Need some ethics CE? This is the place.


Haven’t registered yet? There’s still time (but not much). If you miss it, you’ll be missing out!

NAPA 401(k) Summit

April 7-9, 2019

Las Vegas


All comments
Jim Phillips
4 months 11 hours ago
Fred Reish has to be at or near the top of anyone's list of the finest ERISA minds in the business. A session with Fred on how to navigate the complicated new sets of rules on rollovers is worth the price of admission, by itself. While Fred is a super-star, there are dozens of subject matter experts who will be sharing knowledge and ideas at Summit. This is certainly the go-to conference for anyone serious about retirement plans.
Kelli Davis
4 months 18 hours ago
The retirement income session will be great! T. Rowe Price has incredible data and insights you can use in your practice as soon as you return home from the Summit!