FAIRMONT CHICAGO, MILLENNIUM PARK SEPTEMBER 22 - 24, 2013
MYIRIONLINE.ORG | 1 How Many StarS Do your alternativeS Have? Industry Leading Variable Insurance Portfolios from Van Eck
van eck viP van eck viP Global Hard Assets Fund unconstrained emerging markets bond Fund Overall Morningstar Rating™ Overall Morningstar Rating™ as of 7/31/13. as of 7/31/13. Category: Natural Resources Category: World Bond
van eck viP van eck viP multi-manager Alternatives Fund emerging markets Fund Overall Morningstar Rating™ Overall Morningstar Rating™ as of 7/31/13. as of 7/31/13. Category: Multialternative Category: Emerging Markets
For more information, contact Patrick Lulley at 212.293.2097 or [email protected].
Source: Morningstar Direct Performance data quoted is historical. Past performance does not guarantee future results; current performance may be lower or higher than the performance data quoted. Investment return and value of shares of the Funds will fluctuate so that an investor’s shares, when redeemed, may be worth more or less than their original cost. Performance information reflects temporary waivers of expenses and/or fees. Had the Funds incurred all expenses, investment returns would have been reduced. Insurance/annuity companies charge fees and expenses that are not reflected in each Fund’s performance. Had these fees been included, returns would have been lower. A review of the particular life and/or annuity contract will provide much greater detail regarding these costs. Performance information current to the most recent month end is available by calling 800.826.2606. Investing involves risk, including possible loss of principal. The Van Eck VIP Funds are subject to various risks, including those unique to foreign investing, non-diversification, industry concentration, emerging market securities, small-cap companies and debt securities. The Funds are only available as an option under various insurance contracts issued by life insurance and annuity companies. These contracts offer life and tax benefits to the beneficial owners of the Funds. Your insurance or annuity company charges fees and expenses for these benefits. A review of your particular life and/or annuity contract will provide you with much greater detail regarding these costs and benefits. The Funds are not available directly to the general public. For more complete information on variable life/annuity products, including all charges and expenses, please obtain a prospectus from your licensed insurance agent/registered representative. An investor should consider the investment objective, risks, and charges and expenses of the investment company carefully before investing. The prospectus contains this and other information about the investment company. Please read the prospectus carefully before investing. Morningstar rates mutual funds from one to five stars based on how well they’ve performed (after adjusting for risk and accounting for all sales charges) in comparison to similar funds. Within each Morningstar Category, the top 10% of funds receive five stars, the next 22.5% four stars, the middle 35% three stars, the next 22.5% two stars, and the bottom 10% receive one star. Funds are rated for up to three time periods – three, five and 10 years. Funds with less than three years of history are not rated. Ratings are objective, based entirely on a mathematical evaluation of past performance. They are a useful tool for identifying funds worthy of further research, but should not be considered buy or sell recommendations. For Financial Professional Use.
v A n eck securiT ies corP orATion, disT ribuT o r ■ 335 mA dison A venue ■ new york, ny 10017
55875_VEG_IRI_Sept13_AD.indd 1 8/23/13 4:10 PM WELCOME How Many StarS
Do your alternativeS Have? Dear Colleague: Industry Leading Variable Insurance Portfolios from Van Eck Welcome to the VISION: IRI Annual Meeting 2013! We are glad to have you here with us in Chicago as we explore the dynamics of the evolving financial services marketplace.
We thank our 2013 Annual Meeting Planning Committee co-chairs Brian T. Shea, President, Investment Services and Head of Client Service Delivery and Client Technology Solutions; BNY van eck viP van eck viP Mellon Chairman at Pershing LLC, and Caroline O’Connell, Chief Strategy Officer of Global Global Hard Assets Fund unconstrained emerging markets bond Fund Strategy, Marketing and Communications at Pershing LLC, a BNY Mellon Company, as well as Overall Morningstar Rating™ Overall Morningstar Rating™ the entire planning committee for their time and efforts in developing a fantastic program. as of 7/31/13. as of 7/31/13. Category: Natural Resources Category: World Bond This year’s event features an industry-leading lineup of speakers including Roger W. Ferguson, Jr., President and Chief Executive Officer at TIAA-CREF, and Lisa Bodell, Founder and Chief Executive Officer of futurethink.
This year’s program also includes discussion and commentary on how industry leaders can provide lasting leadership and long–term vision in the marketplace by encouraging product van eck viP van eck viP development, expanding advisor support, and improving consumer perceptions about insured multi-manager Alternatives Fund emerging markets Fund retirement strategies. We hope you enjoy the next several days with us at VISION: IRI Annual Meeting 2013. If you are in need of anything while you are here, please feel free to stop by the Overall Morningstar Rating™ Overall Morningstar Rating™ registration desk or IRI booth, located in the Imperial Foyer. as of 7/31/13. as of 7/31/13. Category: Multialternative Category: Emerging Markets
For more information, contact Patrick Lulley at 212.293.2097 or [email protected]. Catherine J. Weatherford Source: Morningstar Direct President and Chief Executive Officer Insured Retirement Institute (IRI) Performance data quoted is historical. Past performance does not guarantee future results; current performance may be lower or higher than the performance data quoted. Investment return and value of shares of the Funds will fluctuate so that an investor’s shares, when redeemed, may be worth more or less than their original cost. Performance information reflects temporary waivers of expenses and/or fees. Had the Funds incurred all expenses, investment returns would have been reduced. Insurance/annuity companies charge fees and expenses that are not reflected in each Fund’s performance. Had these fees been included, returns would have been lower. A review of the particular life and/or annuity contract will provide much greater detail regarding these costs. Performance information current to the most recent month end is available by calling 800.826.2606. Investing involves risk, including possible loss of principal. The Van Eck VIP Funds are subject to various risks, including those unique to foreign investing, non-diversification, industry concentration, emerging market securities, small-cap companies and debt securities. The Funds are only available as an option under various insurance contracts issued by life insurance and annuity companies. These contracts offer life and tax benefits to the beneficial owners of the Funds. Your insurance or annuity company charges fees and expenses for these benefits. A review of your particular life and/or annuity contract will provide you with much greater detail regarding these costs and benefits. The Funds are not available directly to the general public. For more complete information on variable life/annuity products, including all charges and expenses, please obtain a prospectus from your licensed insurance agent/registered representative. An investor should consider the investment objective, risks, and charges and expenses of the investment company carefully before investing. The prospectus contains this and other information about the investment company. Please read the prospectus carefully before investing. Morningstar rates mutual funds from one to five stars based on how well they’ve performed (after adjusting for risk and accounting for all sales charges) in comparison to similar funds. Within each Morningstar Category, the top 10% of funds receive five stars, the next 22.5% four stars, the middle 35% three stars, the next 22.5% two stars, and the bottom 10% receive one star. Funds are rated for up to three time periods – three, five and 10 years. Funds with less than three years of history are not rated. Ratings are objective, based entirely on a mathematical evaluation of past performance. They are a useful tool for identifying funds worthy of further research, but should not be considered buy or sell recommendations. For Financial Professional Use. v A n eck securiT ies corP orATion, disT ribuT o r ■ 335 mA dison A venue ■ new york, ny 10017 MYIRIONLINE.ORG | 3
55875_VEG_IRI_Sept13_AD.indd 1 8/23/13 4:10 PM TABLE OF CONTENTS
SCHEDULE-AT-A-GLANCE…………………………………………………...……....PAGE 6
DETAILED AGENDA………………………………………………………………....PAGE 10
GENERAL SESSION SPEAKER BIOGRAPHIES……………………………....…….PAGE 18
GENERAL INFORMATION……………………..………………………..…………..PAGE 30
HOTEL FLOOR PLAN…………………………………………………………...…...PAGE 34
PREMIER ALLIANCE PARTNERS………………………………………………...... PAGE 42
EXHIBIT HALL FLOOR PLAN……………………………………..………….…..…PAGE 46
EXHIBITOR DESCRIPTIONS…………………………………………………...... PAGE 48
VISION: ANNUAL MEETING SPONSORS……………………….………...... …...PAGE 64
VISION: IRI ANNUAL MEETING PROGRAM PLANNING COMMITTEE……..…..PAGE 65
IRI BOARD OF DIRECTORS…………………………………………………...….…PAGE 66
ATTENDEE LIST...... PAGE 68
ANNUAL MEETING SPONSORS……………………….……………………....…...PAGE 84
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4 | VISION: IRI ANNUAL MEETING 2013 IRI’S NEW MEMBERS ONLY WEBSITE
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ACCESS YOUR BENEFITS MYIRIONLINE.ORG SCHEDULE-AT-A-GLANCE
SUNDAY, SEPTEMBER 22, 2013
3:00 PM – 4:00 PM IRI OPERATIONS & TECHNOLOGY SENIOR STEERING COMMITTEE STATE ROOM BY INVITATION ONLY
4:00 PM – 5:30 PM IRI BROKER-DEALER ROUNDTABLE GOLD ROOM OPEN TO BROKER-DEALERS ONLY
4:00 PM – 7:00 PM REGISTRATION OPEN IMPERIAL FOYER
5:30 PM – 6:00 PM FIRST-TIME ATTENDEE RECEPTION IMPERIAL BALLROOM
6:00 PM – 7:00 PM WELCOME RECEPTION IN EXHIBIT HALL IMPERIAL BALLROOM SPONSORED BY PERSHING LLC, A BNY MELLON COMPANY
MONDAY, SEPTEMBER 23, 2013
7:00 AM - 8:30 AM IRI RESEARCH COMMITTEE AMBASSADOR ROOM BY INVITATION ONLY
7:00 AM – 8:30 AM IRI ASSET MANAGERS COMMITTEE MOULIN ROUGE BY INVITATION ONLY
7:15 AM – 8:30 AM IRI PUBLIC RELATIONS COMMITTEE REGAL BY INVITATION ONLY
7:30 AM – 8:30 AM BREAKFAST IN EXHIBIT HALL IMPERIAL BALLROOM SPONSORED BY GREAT AMERICAN INSURANCE GROUP
8:30 AM – 9:00 AM OPENING REMARKS IMPERIAL BALLROOM
ANNUAL BUSINESS MEETING
CHAIRMAN’S PERSPECTIVE
9:00 AM – 10:00 AM CRAFTING CONTAGIOUS IDEAS IMPERIAL BALLROOM
6 | VISION: IRI ANNUAL MEETING 2013 10:00 AM – 11:00 AM THE U.S. AND GLOBAL ECONOMY: NEAR-TERM OUTLOOK IMPERIAL BALLROOM SPONSORED BY PUTNAM INVESTMENTS
11:00 AM – 11:30 AM BREAK IN EXHIBIT HALL IMPERIAL BALLROOM SPONSORED BY PACIFIC INVESTMENT MANAGEMENT COMPANY (PIMCO)
11:30 AM – 12:30 PM A VIEW FROM THE TOP IMPERIAL BALLROOM
12:30 PM – 2:00 PM HALL OF FAME AWARD LUNCHEON INTERNATIONAL BALLROOM SPONSORED BY AIG
2:00 PM – 3:00 PM BREAK-OUT SESSIONS
DIVERSIFYING HUMAN CAPITAL TO MEET THE DEMANDS OF A DYNAMIC MARKETPLACE GOLD ROOM
PRODUCT INNOVATION: A LOOK AHEAD STATE ROOM
3:00 PM – 3:30 PM BREAK IN EXHIBIT HALL IMPERIAL BALLROOM SPONSORED BY FIDELITY INVESTMENTS
3:30 PM – 4:30 PM WASHINGTON UPDATE IMPERIAL BALLROOM SPONSORED BY PRUDENTIAL ANNUITIES
4:30 PM – 5:30 PM A CONVERSATION WITH THE IRI BOARD OF DIRECTORS’ LEADERS IMPERIAL BALLROOM
5:30 PM – 6:30 PM RECEPTION IN EXHIBIT HALL IMPERIAL BALLROOM
9:00 PM – 11:00 PM IRI AFTER HOURS: A NETWORKING EVENT THE MID AMERICA CLUB 200 E. RANDOLPH DRIVE 80TH FLOOR SPONSORED BY JACKSON NATIONAL LIFE INSURANCE COMPANY
MYIRIONLINE.ORG | 7 SCHEDULE-AT-A-GLANCE TUESDAY, SEPTEMBER 24, 2013
7:00 AM – 8:30 AM IRI MEMBER SERVICES COMMITTEE CHANCELLOR BY INVITATION ONLY
7:00 AM – 8:30 AM IRI RETIREMENT INCOME COMMITTEE AMBASSADOR BY INVITATION ONLY
7:30 AM – 8:30 AM BREAKFAST IN EXHIBIT HALL IMPERIAL BALLROOM
8:30 AM – 9:15 AM DISRUPTIVE DEMOGRAPHICS: THE CHANGING FACE OF RETIREMENT IMPERIAL BALLROOM
9:15 AM – 9:30 AM BREAK
9:30 AM – 10:30 AM BREAK-OUT SESSIONS
BUSINESS STRATEGY IN THE CURRENT ENVIRONMENT GOLD ROOM
ADVISOR PERSPECTIVES: NAVIGATING THE FUTURE STATE ROOM
10:30 AM – 11:00 AM BREAK IN THE EXHIBIT HALL IMPERIAL BALLROOM SPONSORED BY INSURANCE TECHNOLOGIES
11:00 AM – 11:45 AM END THE STATUS QUO; START AN INNOVATION REVOLUTION IMPERIAL BALLROOM
CLOSING REMARKS
12:00 PM – 2:00 PM IRI EXECUTIVE COMMITTEE MEETING CHANCELLOR ROOM BY INVITATION ONLY
2:00 PM - 4:00 PM IRI BOARD OF DIRECTORS’ MEETING CRYSTAL ROOM BY INVITATION ONLY
8 | VISION: IRI ANNUAL MEETING 2013 MEMBER’S ONLY WEBSITE DEMONSTRATIONS
MONDAY
11:00 AM – 11:30 AM IRI WEBSITE DEMONSTRATION STATE ROOM
3:00 PM – 3:30 PM IRI WEBSITE DEMONSTRATION STATE ROOM
TUESDAY
8:00 AM – 8:30 AM IRI WEBSITE DEMONSTRATION STATE ROOM
MYIRIONLINE.ORG | 9 AGENDA SUNDAY, SEPTEMBER 22, 2013
3:00 PM – 4:00 PM IRI OPERATIONS & TECHNOLOGY SENIOR STEERING COMMITTEE STATE ROOM BY INVITATION ONLY
4:00 PM – 5:30 PM IRI BROKER-DEALER ROUNDTABLE GOLD ROOM OPEN TO BROKER-DEALERS ONLY
4:00 PM – 7:00 PM REGISTRATION OPEN IMPERIAL FOYER
5:30 PM – 6:00 PM FIRST-TIME ATTENDEE RECEPTION IMPERIAL BALLROOM
6:00 PM – 7:00 PM WELCOME RECEPTION IN EXHIBIT HALL IMPERIAL BALLROOM SPONSORED BY PERSHING LLC, A BNY MELLON COMPANY
MONDAY, SEPTEMBER 23, 2013
7:00 AM – 8:30 AM IRI RESEARCH COMMITTEE AMBASSADOR ROOM BY INVITATION ONLY
7:00 AM – 8:30 AM IRI ASSET MANAGERS COMMITTEE MOULIN ROUGE BY INVITATION ONLY
7:15 AM - 8:30 AM IRI PUBLIC RELATIONS COMMITTEE REGAL ROOM BY INVITATION ONLY
7:30 AM – 8:30 AM BREAKFAST IN EXHIBIT HALL IMPERIAL BALLROOM SPONSORED BY GREAT AMERICAN INSURANCE GROUP
8:30 AM – 9:00 AM OPENING REMARKS IMPERIAL BALLROOM
Speakers: Catherine J. Weatherford, President and Chief Executive Officer, Insured Retirement Institute Brian T. Shea, President, Investment Services and Head of Client Service Delivery and Client Technology Solutions, BNY Mellon, Chairman Pershing LLC
10 | VISION: IRI ANNUAL MEETING 2013 ANNUAL BUSINESS MEETING John Carter, President and Chief Operating Officer, Nationwide Retirement Plans, Nationwide Financial
PAST CHAIRMAN’S PERSPECTIVE Larry Roth, Past Chairman, IRI Board of Directors
MASTER OF CEREMONIES WELCOME Robert Dechellis, President, Allianz Life Financial Services, LLC
9:00 AM – 10:00 AM CRAFTING CONTAGIOUS IDEAS IMPERIAL BALLROOM Speaker: Jonah Berger, James G. Campbell Associate Professor of Marketing, Wharton School at the University of Pennsylvania, Author of Best-Selling Book Contagious: Why Things Catch On Why do some companies, products and services get more word of mouth than others? It’s not luck. There’s a science behind it. Social media gurus always preach that no one talks about boring products or boring ideas. So you would think that more interesting products and brands get talked about more. Surprisingly, they don’t. Mr. Berger will discuss the science behind word of mouth and the six key factors that push people to share content and demonstrate how to leverage the concepts to craft messages, providing a set of specific, actionable techniques for helping information spread and ideas catch on.
10:00 AM – 11:00 AM THE U.S. AND GLOBAL ECONOMY: NEAR-TERM OUTLOOK IMPERIAL BALLROOM Speaker: Matthew Slaughter, Associate Dean for Faculty and Professor of Management, Tuck School of Business at Dartmouth What forces can sustain economic recovery? What forces might restrain it? Are certain companies, industries, and countries better positioned to lead a recovery? The recent financial crisis has demonstrated how inherently difficult economic forecasting is at all times — and especially now, amidst so many forces at play with few if any historical precedents. Mr. Slaughter will provide a framework for answering these and other pressing questions with probabilities and scenarios, all based on key facts and insights from recent history with a conversation about three alternative scenarios of recovery — strong, tepid, or none. His framework will provide expert guidance on where product development is stalled, demonstrating that now is the time to capitalize on the opportunity to reexamine offerings and timelines.
11:00 AM – 11:30 AM BREAK IN EXHIBIT HALL IMPERIAL BALLROOM
MYIRIONLINE.ORG | 11 AGENDA
SPONSORED BY PACIFIC INVESTMENT MANAGEMENT COMPANY (PIMCO) 11:00 AM – 11:30 AM IRI WEBSITE DEMONSTRATION STATE ROOM
11:30 AM – 12:30 PM A VIEW FROM THE TOP IMPERIAL BALLROOM Speaker: Roger W. Ferguson, Jr., President and Chief Executive Officer, TIAA-CREF As a nationally recognized leader in the retirement industry, Mr. Ferguson will share his perspectives on the road ahead for financial services firms as they strive to meet the changing needs of a diverse, and growing, retirement population. Under Mr. Ferguson’s leadership, TIAA-CREF has been re-engineered to innovate and better suit the needs of American consumers in meeting the biggest financial challenge of all time — managing assets. Leveraging his expert experience, Mr. Ferguson will provide provocative insights about the opportunities and challenges that exist in the current business climate and will identify areas in which the industry can build business models for future success.
12:30 PM – 2:00 PM HALL OF FAME AWARD LUNCHEON INTERNATIONAL BALLROOM SPONSORED BY AIG
2:00 PM – 3:00 PM BREAK-OUT SESSIONS
DIVERSIFYING HUMAN CAPITAL TO MEET THE DEMANDS OF A DYNAMIC MARKETPLACE GOLD ROOM Moderator: Dave Giertz, President, Distribution and Sales, Nationwide Financial Panelists: Nate T. Yohannes, Esq., Vice President - Associate General Counsel, Money Management Institute Additional participants to be announced As the population continues to reflect an increasingly diverse and powerful marketplace, how will the insured retirement industry prepare to successfully meet the needs of future investors? Hear directly from industry leaders on how their organizations are strategically diversifying their human capital to better meet the demands of a growing market segment by identifying diverse talent and developing them into the roles of the future. Understand how to create an action plan for your organization, by leveraging the keys to successful programs for development and retention of your diverse workforce and consumer base.
12 | VISION: IRI ANNUAL MEETING 2013 CONGRATULATIONS TO THIS YEAR’S IRI HALL OF FAME HONOREES
JAMIE SHEPHERDSON Managing Partner, Crossroads Capital Group
JANE MANCINI CEO, I-Pension, LLC
JANA W. GREER President and Chief Executive Officer, Retirement Income Solutions, AIG Life and Retirement AGENDA
PRODUCT INNOVATION: A LOOK AHEAD STATE ROOM Moderator: Michael Saliba, Managing Director, BlackRock Panelists: Pamela Aurbach, Senior Vice President Institutional Sales, US, Eastspring Investments Chip Castille, Head of Defined Contribution, BlackRock Brian Kroll, Head of Annuity Solutions, Lincoln Financial Group Eric Todd, Executive Vice President, Chief Investment Officer, Forethought Financial Group Mike Spangler, President and Chief Executive Officer, Nationwide Funds The continued success of the industry hinges on the strength of the collaborations forged throughout the entire supply chain of the insured retirement marketplace. Insurers are offering refined products to better compete amid the new market standards. Distributors continue to put the best products on their shelves for their advisors and the consumers they serve. Solution providers are creating new efficiencies to help support growing business needs. Join leadership from across the industry as they examine the best practices for a truly successful marketplace.
3:00 PM – 3:30 PM BREAK IN EXHIBIT HALL IMPERIAL BALLROOM SPONSORED BY FIDELITY INVESTMENTS
3:00 PM – 3:30 PM IRI WEBSITE DEMONSTRATION STATE ROOM
3:30 PM – 4:30 PM WASHINGTON UPDATE IMPERIAL BALLROOM SPONSORED BY PRUDENTIAL ANNUITIES Speaker: Andy Friedman, Principal, The Washington Update Legislative and regulatory priorities in Washington, D.C. continue to present a wide array of possible opportunities and challenges for the industry. Questions on plans to make reductions involving changes to entitlement programs, such as Social Security and Medicare, and more changes to the tax code persist. Join a Washington insider as he discusses these changes and the impact they may have on investors and other areas of activity, including development of a comprehensive energy policy, immigration reform, gun control, domestic manufacturing incentives, and changes to federal housing policy. This session will provide strategies that the industry can consider to take advantage of — or protect against — arising from the above initiatives, including specific strategies for investment, wealth transfer, and retirement planning.
14 | VISION: IRI ANNUAL MEETING 2013 4:30 PM – 5:30 PM A CONVERSATION WITH THE IRI BOARD OF DIRECTORS’ LEADERS IMPERIAL BALLROOM Moderator: Catherine J. Weatherford, President and Chief Executive Officer, Insured Retirement Institute Panelists: John Carter, President and Chief Operating Officer, Nationwide Retirement Plans, Nationwide Financial Lynne Ford, Executive Vice President, Head of Distribution, Calvert Investments, Inc. Nick Lane, President, Senior Executive Director, Retirement Savings, AXA Equitable Robert J. Moore, President, LPL Financial Paula Nelson, Executive Vice President, Forethought Financial Group Brian T. Shea, President, Investment Services and Head of Client Service Delivery and Client Technology Solutions, BNY Mellon, Chairman, Pershing LLC Key leaders from the IRI Board of Directors, share their strategic vision of the road ahead for the insured retirement industry and how IRI can serve as a trusted partner toward achieving the business goals of individual members. With a focus on identifying both existing challenges and emerging opportunities across the market, this discussion will look at how the broader economic trends will affect the growth and development of IRI’s mission, advocacy goals and membership offerings.
5:30 PM – 6:30 PM RECEPTION IN EXHIBIT HALL IMPERIAL BALLROOM
9:00 PM – 11:00 PM IRI AFTER HOURS: A NETWORKING EVENT THE MID AMERICA CLUB 200 E. Randolph Drive 80th Floor SPONSORED BY JACKSON NATIONAL LIFE INSURANCE COMPANY TUESDAY, SEPTEMBER 24, 2013
7:00 AM – 8:30 AM IRI MEMBER SERVICES COMMITTEE CHANCELLOR ROOM BY INVITATION ONLY
7:00 AM – 8:30 AM IRI RETIREMENT INCOME COMMITTEE AMBASSADOR ROOM BY INVITATION ONLY
MYIRIONLINE.ORG | 15 AGENDA
7:30 AM – 8:30 AM BREAKFAST IN EXHIBIT HALL IMPERIAL BALLROOM
8:00 AM – 8:30 AM IRI WEBSITE DEMONSTRATION STATE ROOM
8:30 AM – 9:15 AM DISRUPTIVE DEMOGRAPHICS: THE CHANGING FACE OF RETIREMENT IMPERIAL BALLROOM SPONSORED BY METLIFE Speaker: Joseph F. Coughlin, Ph.D., Director, Massachusetts Institute of Technology AgeLab Leading researcher Joseph Coughlin, Ph.D., will discuss the evolution of a new approach to retirement planning—longevity planning that will include understanding health costs, aging in place, care giving, paying for quality of life and a special note on the use of trusted advice by near retirees and next generation retirees. Gain insight on the impact of global demographic change, social trends and technology on consumer behavior, business innovation and public policy.
9:15 AM – 9:30 AM BREAK
9:30 AM – 10:30 AM BREAK-OUT SESSIONS BUSINESS STRATEGY IN THE CURRENT ENVIRONMENT GOLD ROOM Moderator: Caroline O’Connell, Chief Strategy Officer, Global Strategy, Marketing and Communications, Pershing LLC, a BNY Mellon company Panelists: Dan Arnold, Chief Financial Officer, LPL Financial John Bonvouloir, Managing Director, Retail Annuities, New York Life Insurance Company Mitchell Caplan, Chief Executive Officer, Jefferson National
Business and technology are constantly changing, so how can business leaders manage effectively to keep their businesses moving forward? What are the key moves to make and how do you determine the best course of action with so many competing priorities and solutions? Hear from business leaders on how to best tackle strategic decisions and refine current business models to meet long and short term goals.
16 | VISION: IRI ANNUAL MEETING 2013 ADVISOR PERSPECTIVES: NAVIGATING THE FUTURE STATE ROOM Moderator: Craig Lombardi, Managing Director, Head of Sub- Advisory and Defined Contribution Sales, AllianceBernstein Panelists: Gus Stathapoulos, CFP, Vice President, Morgan Stanley Advisor participants to be announced As the economy slowly rebounds, consumers and business leaders are redefining and reconsidering how to achieve retirement goals. There is a wide array of risks that can impact retirement planning — from longevity and health to inflation and tax risks. It is important to identify the right strategies and solutions that can help to effectively manage the multiple risks that may arise at this phase of a client’s life While not all challenges can be easily foreseen, this session will examine how nearly a dozen risks can impact even the most intricately designed retirement plan. Hear how industry- leading firms are supporting their advisors as they work to identify and manage these risks to help their clients attain financial security.
10:30 AM – 11:00 AM BREAK IN THE EXHIBIT HALL IMPERIAL BALLROOM SPONSORED BY INSURANCE TECHNOLOGIES
11:00 AM – 11:45 AM END THE STATUS QUO; START AN INNOVATION REVOLUTION IMPERIAL BALLROOM Speaker: Lisa Bodell, Founder and Chief Executive Officer, futurethink The economic instability of the past several years has necessitated that insurers reexamine their product offerings — not only from a strategic product-development standpoint, but also in terms of product deployment and engagement of advisors. What products are attractive to advisors and consumers? What challenges are being faced in the industry? Companies must use this opportunity to rethink business decisions and product line-ups. Lisa Bodell will provide a framework about how to innovate in these challenging times, change the organizational paradigm, and create a vision for future improvement.
CLOSING REMARKS Speaker: Robert DeChellis, President, Allianz Life Financial Services, LLC 12:00 PM – 2:00 PM IRI EXECUTIVE COMMITTEE CHANCELLOR ROOM BY INVITATION ONLY 2:00 PM – 4:00 PM IRI BOARD OF DIRECTORS CRYSTAL ROOM BY INVITATION ONLY
MYIRIONLINE.ORG | 17 BIOGRAPHIES
JONAH BERGER James G. Campbell Associate Professor of Marketing Wharton School at the University of Pennsylvania Author, Contagious: Why Things Catch On
What makes ideas viral and products spread contagiously? Professor Jonah Berger studies social epidemics, or how products, ideas, and behaviors catch on and become popular. He examines how individual decision making and social dynamics (e.g., social influence) between people generate collective outcomes such as social contagion and trends. Most recently, Professor Berger has examined why certain products get more word-of- mouth than others and why certain online content goes viral.
Professor Berger is the James G. Campbell Jr. Associate Professor of Marketing at the Wharton School at the University of Pennsylvania. He studies social influence and social epidemics, or how products, ideas, and behaviors catch on and become popular. His research has been published in top-tier academic journals, and popular accounts of his work have appeared in the New York Times, Wall Street Journal, NPR, Science, Harvard Business Review, Sloan Management Re- view, Wired, Business Week, The Atlantic, and The Economist. His research has also been featured in the New York Times Magazine’s “Year in Ideas.”
Professor Berger has been recognized with a number of awards for both scholarship and teach- ing, including the Iron Professor Teaching Award and the MBA Curricular Innovation Award from the Wharton School. He lives in Philadelphia, Pennsylvania.
LISA BODELL Founder and Chief Executive Officer futurethink
Lisa Bodell is the founder and Chief Executive Officer of futurethink, an internationally recognized innovation research and training firm that helps businesses embrace change and become world-class innovators. She focuses on learning how to innovate even within heavy financial or organizational constraints and shifting an organization’s mindset so it can get “unblocked.” Ms. Bodell is globally recognized as a leader and pioneer in the field of futuring and innovation—creating a unique approach to an otherwise complicated topic. She created the widely adopted SIPC Innovation Framework (Strategy, Ideas, Process, Climate), providing a clear method that breaks innovation down into manageable parts. Currently, Ms. Bodell serves as an advisor on the boards of the Institute of Direct Market- ing in London, the Association of Professional Futurists, and the prestigious Institute for Triple Helix Innovation think tank, the only innovation initiative of its kind within the U.S. She has also taught marketing and creativity at American University.
18 | VISION: IRI ANNUAL MEETING 2013 JOHN L. CARTER President and Chief Operating Officer Nationwide Retirement Plans
John L. Carter brings nearly 30 years of financial services industry experience as president and chief operating officer for Nationwide’s Retirement Plans business. The business provides defined contribution plans to small and mid-sized employers in the private sector and is the leading provider of workplace retirement savings programs in the pub- lic sector with a combined $80 billion in assets under management.
Prior to leading Retirement Plans, Mr. Carter was president of NFS Distributors Inc. where he was responsible for the wholesale strategy and distribution of private sector retirement plans, life insurance, annuities, specialty markets and mutual funds through banks, independent broker dealers, regional firms and wirehouses. Through his leadership, he successfully implemented process improvements and distribution alignments to address unmet customer needs and improve the customer experience.
Prior to joining Nationwide Financial in 2005, Mr. Carter was responsible for wealth manage- ment and managed accounts distribution through all channels and oversaw the sales of mutual funds, variable annuities and managed accounts at Prudential Financial. John also held execu- tive positions with UBS and the former Kidder Peabody.
Additionally, he serves on the executive board for Insured Retirement Institute (IRI) and is active in the regulatory and industry efforts to help consumers prepare for and live in retirement. Mr. Carter is also a board member of the Columbus Association for the Performing Arts (CAPA) and on the Marketing Advisory Board of the Robert J. Trulaske College of Business, University of Missouri.
Mr. Carter holds a Bachelor of Science degree in business administration/finance from the University of Missouri.
MYIRIONLINE.ORG | 19 BIOGRAPHIES
JOSEPH COUGHLIN, PH.D. Director, Technology AgeLab Massachusetts Institute of Technology
Joseph F. Coughlin, Ph.D. is Director of the Massachusetts Institute of Technology AgeLab. His research provides insights on how demograph- ic change, technology, social trends and consumer behavior will con- verge to drive future innovations in business and government. Based in MIT’s Engineering Systems Division, he teaches policy and systems innovation and is author of the on-line publication Disruptive Demo- graphics. He is one of Fast Company Magazine’s ‘100 Most Creative People in Business’ and was named by the Wall Street Journal as one of “12 pioneers inventing the future of retirement and how we will all live, work and play tomorrow.” Dr. Coughlin is a Behavioral Sciences Fellow of the Gerontological Society of America and a Fellow of Switzerland’s World Demographics & Ageing Forum advising and speaking to businesses, governments and non-profits worldwide. He has served numerous advisory boards including those for British Telecom Health, Daimler, Fidelity Investments, Gallup, Healthways, Nissan, Putnam Investments, Sanofi-Aventis, and Toyota. He was appointed by President Bush to the White House Conference on Aging Advisory Commit- tee. Dr. Coughlin has worked with governments in Asia and the EU, the World Economic Forum, OECD, and the Council on Foreign Relations on demographic change, technology and strategic advantage. He has been featured on ABC News, BBC, CBS Sunday Morning, CNN, NBC’s Today Show, Dr. Oz, News Asia, Economist, Financial Times, The Straights Times, New York Times, Wall Street Journal, and other media outlets throughout the world. Prior to MIT he was with EG&G a Fortune 1000 science & technology firm consulting to business and government worldwide.
ROBERT DECHELLIS President, Allianz Life Financial Services, LLC Allianz Life Insurance Company of North America
Robert DeChellis is the president of Allianz Life Financial Services, LLC, a division of Allianz Life Insurance Company of North America (Allianz Life®). In this role, Mr. DeChellis is responsible for sales and distribution of Allianz Life products, including variable annuities, fixed indexed annuities and advisory annuities through broker dealers and other financial institutions.
Prior to joining Allianz Life in 2006, Mr. DeChellis was executive vice president of Travelers Life & Annuity’s Retail Annuities Division. He also was executive vice president and national sales man- ager for Jackson National Life Distributors, Inc. Before joining the annuity industry, Mr. DeChellis spent 13 years in asset management, holding positions with firms such as Goldman Sachs and Lord Abbett.
Mr. DeChellis is originally from Vero Beach, Florida. He holds a Bachelor of Science degree in Finance from the University of Colorado at Boulder and is currently pursuing his MBA at the Kellogg School of Management.
20 | VISION: IRI ANNUAL MEETING 2013 The New Model Clearing Firm
Client-Centric. Innovative. Strong. Looking for a new model for growth? Look to Pershing to help you expand your retirement business. > Access our cutting-edge solutions including distribution flexibility, successor beneficiaries for stretch IRAs, asset retention strategies and mutual fund only options for IRAs > Streamline how you process, service and maintain fixed, variable and indexed annuities, helping you enhance the overall experience of your clients > Expand into new businesses or advisory models using our platform, NetX360®, including open architecture integration with a full suite of retirement solutions > Tap into the global capabilities of the broader BNY Mellon organization, one of the strongest financial institutions in the world Ask how our new model of consultative support can help you transform your retirement business. pershing.com/growretirement
© 2013 Pershing LLC. Pershing LLC, member FINRA, NYSE, SIPC, is a wholly owned subsidiary of The Bank of New York Mellon Corporation (BNY Mellon). Trademark(s) belong to their respective owners. For professional use only. Not for distribution to the public. BIOGRAPHIES
ROGER W. FERGUSON, JR. President and Chief Executive Officer TIAA-CREF
Roger W. Ferguson, Jr., is President and Chief Executive Officer of TIAA-CREF, the leading provider of retirement services in the academic, research, medi- cal, and cultural fields and a Fortune 100 financial services organization.
Mr. Ferguson is the former Vice Chairman of the Board of Governors of the Federal Reserve System. As the only Governor in Washington, D.C. on 9/11, he led the Fed’s initial response to the terrorist attacks, taking actions that kept the U.S. financial system func- tioning while reassuring the global financial community that the U.S. economy would not be paralyzed.
Prior to joining TIAA-CREF in April 2008, Mr. Ferguson was head of financial services for Swiss Re and Chairman of Swiss Re America Holding Corporation. He was an associate and partner at McKinsey & Company and an attorney at Davis Polk & Wardwell.
Mr. Ferguson is a fellow of the American Academy of Arts & Sciences and a member of the Acad- emy’s Commission on the Humanities and Social Sciences. He is co-chair of the Committee on Economic Development, and he serves on the boards of International Flavors & Fragrances Inc. and Audax Health and on the advisory board of Brevan Howard Asset Management LLP.
He is a board member of the American Council of Life Insurers, the Institute for Advanced Study, and Memorial Sloan-Kettering Cancer Center. He serves as vice chair of the Business-Higher Education Forum and was co-chair of the National Academy of Sciences’ Committee on the Long-Run Macro-Economic Effects of the Aging U.S. Population.
LYNNE FORD Executive Vice President, Calvert Distributors, Inc. Calvert Investments, Inc. Past Chairman of the Board, Insured Retirement Institute Board
Lynne Ford leads Calvert’s retail sales, institutional sales, marketing, and public relations efforts.
Ms. Ford has more than 20 years of experience in investment sales and marketing. Most recently, she served as Executive Vice President and Chief Executive Officer of Individual Retirement at ING US. Before that, Ms. Ford spent nineteen years at Wachovia, which merged with Wells Fargo in late 2008, serving in a number of execu- tive capacities within its investment and distribution organizations. As Executive Vice President, Retail Retirement, she led both the annuity and IRA businesses and prior to that, spent 10 years as Senior Vice President and Managing Director for Evergreen Investments.
Ms. Ford is the currently serving as the past Chairman on the board of the Insured Retirement Institute (IRI) and serves on the National Board of Junior Achievement USA. She earned a bachelor’s degree from Davidson College and a master’s degree from the University of North Carolina, Charlotte.
22 | VISION: IRI ANNUAL MEETING 2013 ANDY H. FRIEDMAN Principal The Washington Update According to CNBC, Andy Friedman is “one of the nation’s most sought-after speakers on all things political.” An expert on political af- fairs, Mr. Friedman is known for predicting the outcomes of Washington deliberations and providing investors with strategies to consider in light of the changing political landscape. Mr. Friedman was a senior partner with the law firm of Covington & Burling in Washington, D.C., where he practiced for almost thirty years, serving as head of the tax and corporate groups. He received his bachelor degree as valedictorian from Trinity College in Hartford, Connecticut, and his law degree from the Harvard Law School. Mr. Friedman also served as tax counsel to Major League Baseball, the National Football League, the National Basketball Association, and the National Hockey League.
He appears on CNBC, which refers to him as “Wall Street’s Tax Expert” and calls him “one of Washington’s savviest political observers.” Mr. Friedman also has appeared on the Larry Kudlow Show, the Fox Business Channel, and POTUS radio, has been profiled in theWashington Post and Research Magazine, and is quoted extensively in publications ranging from the Wall Street Journal to USA Today.
He is included in Best Lawyers in America and Chambers’ America’s Leading Lawyers for Busi- ness, which notes “Andy’s ability to combine vast knowledge and a practical mindset permits him to convey the most complex of tax concepts in layman’s terms. He is the expert’s expert. If every lawyer were like him, the world would be a much better place.”
NICK LANE Senior Executive Director, President, Retirement Savings AXA Equitable
Nick Lane is Senior Executive Vice President for AXA Equitable Life Insurance Company and President of the Retirement Savings Division. In addition to serving on the company’s Executive Committee, Mr. Lane is Chairman of the Board, President, and Chief Executive Officer of AXA Distributors, LLC. He is also a member of the Board of Directors of AXA Advisors LLC. In his capacity as President of Retirement Savings, Mr. Lane heads AXA Equitable’s Individual Annuity and Employer-Sponsored Business Divisions. His respon- sibilities include the product development, manufacturing, sales, customer service, and in-force management of the company’s variable and fixed annuity products. He also oversees the AXA Equitable Funds Management Group, LLC, an approximately $82 billion sub-advised fund complex that supports AXA Equitable’s variable life and annuity insurance products. Prior to his current role, Mr. Lane served as Senior Vice President of Business Support Development for the U.S. and asset management operations for AXA Equitable’s parent company, Paris-based AXA Group. He also served as head of Strategic Planning for AXA Group, playing an integral role in defining the global strategy for 55 countries worldwide. Additionally, he played a key role as a member of the boards that oversee AXA Equitable, AllianceBernstein, AXA Investment Managers, AXA Private Equity, and AXA Reinsurance Ireland. Mr. Lane holds a B.A. from Princeton University and an M.B.A. from Harvard Business School and served as a Captain in the U.S. Marine Corps.
MYIRIONLINE.ORG | 23 BIOGRAPHIES
ROBERT J. MOORE, CFA President and Chief Operating Officer LPL Financial Robert Moore is president and chief operating officer for LPL Financial. After joining the company in 2008 to lead financial operations, he was promoted in 2012 to his current role heading multiple distinct lines of business for the organization, including Concord Capital Partners; Forti- gent; LPL Insurance Associates; The Private Trust Company, N.A.; and LPL Financial Custom Clearing Services. In addition, he oversees Advisory & Brokerage Consulting, Marketing, Research, and Governance, Risk, and Compliance—service departments that provide the tools, resources, and platforms that enable LPL Financial advisors to run a successful and profitable practice.
Prior to LPL Financial, Mr. Moore served as chief executive officer and chief financial officer at ABN AMRO North America and LaSalle Bank Corporation, where he drove the North America business unit to its best financial performance in history.
Before this role, Mr. Moore worked for Diageo PLC, Europe and Great Britain, in a number of finance management positions, ultimately serving as chief financial officer. Other positions include group senior vice president for ABN AMRO Holding; senior executive vice president for Duff and Phelps Investment Management; and a range of portfolio, treasury, and trust manage- ment positions for Harris Investment Management, Ford Motor Company, and Northern Trust.
Mr. Moore serves as chairman of the board of the Invest in Others Charitable Foundation; is a member of the Financial Services Roundtable, serving on the asset management and CFO committees; and is on the University of Texas Development Board. He has a Bachelor of Business Administration in finance from the University of Texas and a Master of Management in finance, marketing, and international business from Northwestern University. He attended the Harvard Business School Executive Management Program and is a Chartered Financial Analyst.
PAULA G. NELSON Executive Vice President, Head of Annuity Distribution Forethought Financial Group Paula G. Nelson joined Forethought in June 2010 and currently serves as Head of Annuity Distribution Forethought Financial Group.
Prior to Forethought, she was with Transamerica Capital Inc. for 25 years. Transamerica Capital Inc. is a global financial services organization offering insurance, investments and retirement products through financial profes- sionals. They are part of the AEGON Group, a global financial services orga- nization offering insurance, investments and retirement products through financial professionals.
Ms. Nelson served as Chief Executive Officer and President of Transamerica Capital Inc. before moving into the position of Managing Director for AEGON Financial Services Group Inc. As Managing Director, she was responsible for business development with AEGON top institutional business partners in the United States.
Ms. Nelson served for 10 years on the board of the American Bankers Insurance Association, the
24 | VISION: IRI ANNUAL MEETING 2013 largest bank/insurance trade association in the country. She also served on the Advisory Board of Banks in Insurance, an industry association and trade publication from 1990-1997.
Ms. Nelson is a registered principal, holding a series 26, 6, and 63 securities license and her life and health license in the State of Minnesota.
Ms. Nelson is a 1985 graduate of the University of Minnesota, where she received her Associate of Arts.
CAROLINE O’CONNELL Chief Strategy Officer Pershing LLC, a BNY Mellon company
Caroline O’Connell is Chief Strategy Officer and a Managing Director for Pershing, a BNY Mellon company. As Chief Strategy Officer, Ms. O’Con- nell collaborates with business leaders across the firm to develop and continuously refine Pershing’s global strategy. She is also responsible for overseeing Pershing’s innovation, global marketing and corporate communications efforts. She is a member of the BNY Mellon Operating Committee and Pershing’s Executive Committee.
Ms. O’Connell is responsible for creating and building Pershing’s marketing function and is a member of the Marketing Leadership Group for BNY Mellon. She was the first co-chair of Pershing’s Diversity Advisory Board, which was instrumental in the evaluation and selection of a diversity philosophy and process for the organization. Ms. O’Connell was a member of the BNY Mellon Women’s Initiative Network (WIN) Executive Committee at its inception and has been a speaker for WIN.
Ms. O’Connell is a member of the Board of Trustees and the Curriculum Committee for the Securities Industry Institute® (SII), sponsored by the Securities Industry and Financial Markets Association (SIFMA), at the Wharton School of the University of Pennsylvania. She served on the SIFMA Sales and Marketing and Private Client Services Committees for more than 10 years and is a past chair of the SIFMA Sales and Marketing Conference. Ms. O’Connell is a member of the Board for the Insured Retirement Institute (IRI) and serves as chair of the Annual Meeting Plan- ning Committee. She was the founding chair of the Marketing Committee for IRI and served as a member of their Marketing Conference Planning Committee. She is a member of the Financial Communications Society (FCS) and has been a judge for the Portfolio Awards and a speaker for the FCS. She is also a member of the FCS Marketing Leadership Roundtable. Ms. O’Connell is a member of the Women’s Forum, Inc. of New York.
Ms. O’Connell earned a Bachelor of Arts in Education and a Master of Business Administration degree from Old Dominion University. She completed the SII program, which is sponsored by SIFMA, at the Wharton School of the University of Pennsylvania and The Women’s Leadership Forum, a leadership development program, at Harvard Business School.
MYIRIONLINE.ORG | 25 BIOGRAPHIES
BRIAN SHEA Chairman, Pershing LLC President, Investment Services andHead of Client Service Delivery and Client Technology Solutions BNY Mellon
Brian Shea is Chairman of Pershing, a BNY Mellon company. Mr. Shea also serves in a number of key leadership roles at BNY Mellon, including as the President of Investment Services and Head of Client Service De- livery and Client Technology Solutions. He leads the Broker-Dealer and Advisor Services Group, which includes Pershing, Broker-Dealer Services global clearance, U.S. tri-party services, and BNY Mellon Clearing (global derivatives clearing). Mr. Shea is a member of Pershing’s Executive Committee and BNY Mellon’s Executive Committee.
Mr. Shea serves on the Board of Directors of the Depository Trust & Clearing Corporation and on the Board of Directors of the Insured Retirement Institute. He has previously served on the Board of Governors of the National Association of Securities Dealers (NASD, which is now the Financial Industry Regulatory Authority, Inc.), the NASD Dispute Resolution Board, as chairman of the National Adjudicatory Council of the NASD, and as chairman of the NASD Membership Committee. He has also served on the NASD Variable Annuity Utility Task Force, the NASD Mutual Fund Breakpoint Task Force, the NASD Mutual Fund Omnibus Processing Task Force, the NASD Member Admission Review Committee, and the NASD District 10 (New York) Committee. Mr. Shea also served as chairman of the Securities Industry Association Membership Commit- tee (SIA, which is now the Securities Industry and Financial Markets Association or SIFMA), and served on the SIA New York District Committee. He is a two-time recipient of the chairman’s award for distinguished service to the SIA.
After earning a Bachelor of Science degree in Business Management from St. John’s University, he went on to earn a Master of Business Administration degree in Finance from Pace University. He has also completed the Securities Industry Institute® program, sponsored by SIFMA, at the Wharton School of the University of Pennsylvania.
26 | VISION: IRI ANNUAL MEETING 2013 B:5.75 in T:5.5 in S:4.5 in
date Enough- Your client’s fear that they won’t have initial ophobia: enough for health care in retirement.
Help your clients plan for health care expenses with our Personalized Health Care Cost Assessment • Eye-opening—estimate client’s potential Kathryn Clendenin Shannon Bullock Petty Carolyn Katy Clove Medicare and out-of-pocket medical expenses
• Comprehensive—include long-term care costs for a more accurate assessment Producer:
Art Director: • Actionable—create a plan and provide Project Leader: Project
Premedia Artist: Premedia solutions, including annuities, mutual funds and a long-term care rider on most permanent
B:8.75 in T:8.5 in
life products S:7.5 in approvals Whatever your clients face, let’s face it together.
i To download a sample assessment, visit nationwidefi nancial.com/HealthCare l 1-877-245-0763
ANNUITIES|LIFE INSURANCE|RETIREMENT PLANS|MUTUAL FUNDS
Please remember, no product, rider, service or strategy is suitable for all clients. Carefully consider the client’s needs, objectives, risk tolerance and overall suitability before recommending any product, rider or service, or implementing any strategy. Riders are available at an additional cost and may not be available in all states. The information collected on the Personal Health Care Cost Assessment will be kept confi dential and used to provide an estimate of a client’s potential health care costs in retirement. The estimate is based on a client’s specifi c fi nancial situation and goals, as well as their current overall health condition. The client’s fi nancial situation and health conditions may change over time and this may a ect their future health care charges. Please keep in mind that the estimates resulting from this fact fi nder are for hypothetical purposes only and are not guaranteed. Nationwide Investment Services Corporation, member FINRA. In MI only: Nationwide Investment Svcs. Corporation. Nationwide, Nationwide Financial and the Nationwide framemark are service marks of Nationwide Mutual Insurance Company. Let’s Face It Together is a service mark of Nationwide Life Insurance Company. © 2013 Nationwide Financial Services, Inc. All rights reserved. NFV-0708AO.2 (5/13)
MYIRIONLINE.ORG | 27
nwf15063PM_5.5x8.5_Enough_IRIMarketSummit August 19, 2013 4:19 PM
Job: NWF15063 Publication: IRI Client: Nationwide Financial First Insertion: TBD Headline: “Enough-ophobia” Closing: 8/20/13 Media Type / Premedia: Katy Clove, 919.313.4157, Substrate [email protected] Trim: 5.5” x 8.5” Producer: Carolyn Petty, 919.313.4159, Live: 4.5” x 7.5” [email protected] Bleed: 5.75” x 8.75” Notes: Colors: cmyk Pages: 1 Round: 0l 0m 1pm BIOGRAPHIES
MATTHEW SLAUGHTER Associate Dean of Faculty and the Signal Companies’ Professor of Management Tuck School of Business at Dartmouth Matthew Slaughter is the associate dean for faculty, the Signal Com- panies’ professor of management at the Tuck School of Business at Dartmouth, and the founding faculty director of the Center for Global Business and Government. He is also a member of the Congressional Budget Office’s Panel of Economic Advisors and was a member on the Council of Economic Advisors in the Executive Office of the President from 2005–2007. While with the CEA, Mr. Slaughter advised the pres- ident, the Cabinet, and many others on issues including international trade and investment, currency and energy markets, and the competitiveness of the U.S. economy. Mr. Slaughter is currently a research associate at the National Bureau of Economic Research, an adjunct senior fellow at the Council on Foreign Relations, a member of the academic advisory board of the International Tax Policy Forum, an academic advisor to the Deloitte Center for Cross-Border Investment, and a member of the State Department’s Advisory Committee on International Economic Policy. He has also been affiliated with the Federal Reserve Board, the International Monetary Fund, the World Bank, the National Academy of Sciences, the McKinsey Global Institute, the Institute for International Economics, and the Department of Labor. Mr. Slaughter has testified before both chambers of the U.S. Congress. He regularly contributes op-eds to The Financial Times, The New York Times, The Wall Street Journal, and The Washington Post, and his ideas are widely featured in business media such as Bloomerberg Businessweek, The Economist, Financial Times, Newsweek, and TIME. He has appeared on several TV and radio programs such as CNBC’s Squawk Box and Closing Bell, NPR’s All Things Considered and Morning Edition, PBS’s NewsHour.
Mr. Slaughter has been on the faculty of the economics department at Dartmouth since 1994, where in 2001 he received the school-wide John M. Manley Huntington Teaching Award and in 2012 he received Tuck’s Class of 2011 Teaching Excellence Award. He also co-directs the flagship executive-education program Global Leadership 2030. He graduated summa cum laude from the University of Notre Dame, and received his doctorate from MIT.
28 | VISION: IRI ANNUAL MEETING 2013 CATHERINE J. WEATHERFORD President and Chief Executive Officer Insured Retirement Institute Catherine Weatherford is the President and Chief Executive Officer of the Insured Retirement Institute (IRI), the leading not-for profit-organization educating Americans about the importance of retirement planning, includ- ing the growth, acceptance, and understanding of annuity and variable life products. She led the association through an extensive and successful re- branding, bringing in more than 150,000 financial advisors as members. As a result of her leadership and accomplishments, Ms. Weatherford was selected as one of the nation’s top association executives for 2010, joining the ranks of 20 elite leaders selected from hundreds of candidates. Ms. Weatherford is a distinguished thought-leader on issues related to retirement security. She is a member of the U.S. Chamber’s Committee of 100, as well as the Exche- quer Club, the pre-eminent forum in Washington, D.C., for national economic and financial policy.
Prior to joining IRI, Ms. Weatherford served for 12 years as Chief Executive Officer of the National Association of Insurance Commissioners. She was also the first woman to serve as Oklahoma’s Insurance Commissioner – a position she held from 1991 to 1995, after serving as a senior policy advisor to Oklahoma Governor David Walters. She began her career at the Oklahoma Insurance Department, serving in several capacities in her 13-year tenure. Ms. Weatherford has received several national awards and recognitions for providing extensive employee-friendly programs and benefits during her career. She served on the National Insurance Producer Registry Board of Directors for nine years and the American Society of Association Executives Board of Directors for four years. She is a graduate of the University of Central Oklahoma with a B.A. in political science.
MYIRIONLINE.ORG | 29 GENERAL INFORMATION
ACCESSIBILITY FOR ATTENDEES WITH DISABILITIES IRI Staff will work with attendees to provide reasonable accommodations for those with special needs. To request assistance onsite, please visit the IRI Registration Desk in the Imperial Foyer.
ANTI-TRUST POLICY AND CAUTION As members of a trade association, each person attending this function must be mindful of the constraints imposed by federal and state anti-trust laws. The people here today represent companies that are in direct competition with one another. IRI’s purpose is to provide a forum for the free exchange of ideas on the designated topics. It is not the purpose of this meeting to reach any agreement that could have anti-competitive effects. Individuals must keep in mind that a violation of the anti-trust laws may subject them to substantial fines – or worse. You can avoid problems by following these simple guidelines: ŮŮ Stick to the published agenda. ŮŮ Be cautious about discussions involving pricing, premiums, benefits to be offered or terminated, and who should or should not be covered. The Justice Department views these types of discussions with concern and suspicion. Never take a poll of participants’ positions or make a collective agreement on these issues. ŮŮ Always retain your right to make an independent judgment on behalf of your company. IRI is dedicated to assisting each of its members in achieving their competitive potential.
ATTENDEE-ORGANIZED EVENTS Please note that IRI’s long-standing policy states that no attendee-organized events may be held during any scheduled meeting event, including general and elective sessions, receptions, and organized networking activities. With respect to events scheduled during non-conference hours, please notify IRI’s Meetings & Conferences Department of your event via email to [email protected]. Please note that your event may only take place at the event hotel if you are a registered sponsor for the meeting. Thank you in advance for your continued compliance with this policy.
BADGES Badges should be worn at all official functions to allow access to general sessions, receptions, and the exhibit hall. If you misplace your badge, please visit the Registration Desk for a replacement.
CAMERAS, RECORDING DEVICES, AND CELL PHONES Please refrain from using cameras, recorders, and/or cell phones in the sessions or exhibits. Personal photography is allowed at social functions. Please note that an official IRI photographer will be taking photographs of attendees and speakers for future use in IRI publications and on the IRI website.
COMMITTEE MEETINGS Sunday, September 22 3:00 pm – 4:00 pm IRI Operations & Technology Senior Steering Committee State Room/By Invitation Only 4:00 pm – 5:30 pm IRI Broker-Dealer Roundtable Gold Room/Open to Broker-Dealers Only Monday, September 23 7:00 am – 8:30 am IRI Research Committee Ambassador/By Invitation Only 7:00 am – 8:30 am IRI Asset Managers Committee Moulin Rouge/By Invitation Only
30 | VISION: IRI ANNUAL MEETING 2013 7:15 am - 8:30 am IRI Public Relations Committee Regal/By Invitation Only Tuesday, September 24 7:00 am – 8:30 am IRI Member Services Committee Chancellor/By Invitation Only 7:00 am – 8:30 am IRI Retirement Income Committee Ambassador/By Invitation Only
CONFERENCE ATTIRE The preferred dress for all sessions is business attire.
CONTACT To contact a member of the IRI staff while onsite, please visit the Registration Desk in the Imperial Foyer.
EMERGENCY PROCEDURES Fire/Medical Emergency – In case of a fire or medical emergency at the hotel, please notify the Hotel Operator on any house phone by dialing “0”or notify an IRI staff member near Registration. Please provide your name, location and nature of emergency.
COAT AND BAGGAGE CHECK Attendees may check their coats, bags or packages at the Fairmont Chicago concierge for a nominal fee.
EXHIBIT HALL HOURS Sunday, September 22...... 5:30 pm – 7:00 pm Monday, September 23...... 7:30 am – 6:30 pm Tuesday, September 24...... 7:30 am – 11:45 am
INTERNET AND WIRELESS Wireless Internet is available. The network name (group name) is vision2013. To connect:
ŮŮ View Available Wireless Networks ŮŮ Connect to Fairmont_Meeting ŮŮ Group Name: vision2013 (Case Sensitive) ŮŮ Access Code: vision 2013 (Case Sensitive)
LOST AND FOUND Lost and Found will be located at the IRI Registration Desk in the Imperial Foyer. At the conclusion of the conference, items not claimed will be turned over to Lost and Found at the Fairmont Chicago.
MEAL FUNCTIONS Breakfast, breaks, and lunches will be served in the exhibit hall, unless otherwise specified in the agenda.
MOBILE APP The latest IRI Annual Meeting 2013 information is available right on your mobile device. To learn more and download the app, visit the Apple App Store or Google Play.
MYIRIONLINE.ORG | 31 GENERAL INFORMATION
PRESS ROOM Media attending the conference have access to an exclusive; Wi-Fi enabled press room in Regal. Those interested in accessing the press room should contact Andrew Simonelli at (202) 577-6463 or [email protected].
REGISTRATION HOURS Imperial Foyer Sunday, September 22………………...…………………...... 4:00 pm – 7:00 pm Monday, September 23…………………………….....………..7:30 am – 6:30 pm Tuesday, September 24……………………………...... ……....7:30 am – 11:00 am
SESSION PRESENTATIONS Presentations from the Annual Meeting will be available at http://myirionline.org/conferences/ past-conferences by September 27, 2013.
FUTURE IRI CONFERENCES
IRI MARKETING SUMMIT 2014 IRI GOVERNMENT, LEGAL & March 23-25, 2014 REGULATORY CONFERENCE 2015 New York Hilton Mid-town June 28 – June 30, 2015 New York, NY JW Marriott Washington Washington, DC IRI OPERATIONS & TECHNOLOGY CONFERENCE 2014 VISION: IRI ANNUAL MEETING 2015 May 19-21, 2014 September 27-29, 2015 Gaylord Palms Resort & Convention Center Charleston Place Hotel Kissimmee, FL Charleston, SC
IRI GOVERNMENT, LEGAL & IRI MARKETING SUMMIT 2016 REGULATORY CONFERENCE 2014 March 20-22, 2016 June 29 – July 1, 2014 PGA National Resort & Spa JW Marriott Washington Palm Beach Gardens, FL Washington, DC VISION: IRI ANNUAL MEETING 2016 VISION: IRI ANNUAL MEETING 2014 September 25 – 27, 2016 September 28 – 30, 2014 The Broadmoor Colonial Williamsburg Resort Colorado Springs, CO Williamsburg, VA
IRI MARKETING SUMMIT 2015 March 25-27, 2015 Gaylord National Resort & Convention Center Fort Washington, MD
32 | VISION: IRI ANNUAL MEETING 2013 AIG proudly supports the IRI in its VISION to educate and advocate for retirement savings and income solutions for all Americans.
With roots dating back over 160 years, AIG Life and Retirement is firmly committed to helping Americans achieve financial and retirement security through investments, insurance and lifetime income solutions.
We congratulate Jana Waring Greer, President and CEO of the Retirement Income Solutions division of AIG Life and Retirement, on her induction into the IRI Hall of Fame.
Bring on tomorrow
AIG Life and Retirement is the enterprise name for a group of companies offering insurance, retirement and investment services through a diverse family of financial services companies. AIG Life and Retirement is part of American International Group, Inc. Not all products are available in all firms. M5338AD (8/13)
MYIRIONLINE.ORG | 33
M-5338-AD.v5B.indd 1 8/14/13 12:36 PM FLOORPLANS
Exibitors Dock Freight Elevator Emergency Exit Emergency Exit& Ballroom Service
Garage Entrance
Kitchen Pantry Imperial Ballroom Intermediate Lake Street
Cashier Storage
Auto Lobby Imperial Office Emergency Exit
Exit Service Elevators Ballroom Level Entrance Regal Public Elevators Room
Pre-Function
Imperial Parlor Royal Escalators to Room Concourse and Lobby Emergency Exit
Intermediate Columbus Drive
B2
34 | VISION: IRI ANNUAL MEETING 2013 MYIRIONLINE.ORG | 35 FLOORPLANS
Freight Elevator Storage Reseravations
Gifts & Sundries
Moulin Rouge Front Office Foyer Telephones Front Desk
Emergency Exit
Kitchen Eno Wine Room Emergency Private Exit Concierge Dining Room
Belldesk To International Ballroom Level
Escalators to Lower Levels Main Entrance
Service Elevators
Public Elevators aria restaurant Porte-cochère aria Entrance
aria bar
lobby
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MYIRIONLINE.ORG | 37 FLOORPLANS
Emergency Freight Exit Elevator
Gold Room Pantry International Ballroom
Emergency Exit Telephones
Emergency Exit Telephones Embassy Audiovisual Emergency Booth Exit Room Escalators to all levels Stairs to Lobby
Pre-Function
Pantry Service Elevators
Public Elevators
Ambassador Pre-Function State Room Room
2nd Floor
38 | VISION: IRI ANNUAL MEETING 2013 A ChAnging World demAnds Bolder Thinking Coming together to share ideas has never been more important. That’s why we are proud to support the iri 2013 Annual meeting.
Blackrock is committed to helping investors achieve the outcomes they need. We provide clients with an industry-leading breadth of active and indexing strategies across asset classes and geographies— all enhanced by the deep expertise of Blackrock’s investment teams and our unmatched risk management capabilities.
MYIRIONLINE.ORG | 39 FLOORPLANS
Emergency Exit
Kosher Crystal Room Kitchen
Telephones Pre-Function Escalators Down
to All Levels
Service Elevators Pantry Emergency Exit
Public Elevators
Chancellor Regent Room Pre-Function Diplomat Room Room
3rd Floor
40 | VISION: IRI ANNUAL MEETING 2013 Great American Insurance Group Tower, headquarters of Great American Life, overlooks Great American Ball Park, home of the Cincinnati Reds.
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10% rollup for 7 years 9% rollup for 10 years 8% rollup for 12 years Income payout Refund of rider charge in Income payout percentages that percentages that certain circumstances increase annually increase annually Income payments Beneficiary choice of death Income payments available after first available immediately benefit paid as lump sum or contract anniversary (age 55+) (age 55+) annuitized Refund of rider charge at Beneficiary choice of death benefit paid death if income payments as lump sum or annuitized have not started
Visit www.GAIG.com to learn more.
The Inheritance Enhancer (R6042513NW), IncomeSecure (R6036711NW) and IncomeSustainer Plus (R6032810NW), issued by Great American Life Insurance Company®, are optional riders for which there are annual charges. Please refer to the rider for definitions and complete terms and conditions, as this is a summary of the rider’s features. Products issued by Great American Life Insurance Company (Cincinnati, Ohio). Not available in all states. Form numbers and features may vary by state. For producer use only. Not for use in sales solicitation. 2543-SP PREMIER ALLIANCE PARTNERS
IRI THANKS THE FOLLOWING ORGANIZATIONS FOR THEIR GENEROUS SUPPORT AND PARTICIPATION IN OUR PREMIER ALLIANCE PARTNER PROGRAM.
PLATINUM LEVEL
GOLD LEVEL
SILVER LEVEL
42 | VISION: IRI ANNUAL MEETING 2013 ANNUAL MEETING SPONSORS
IRI THANKS THE FOLLOWING ORGANIZATIONS FOR THEIR GENEROUS SUPPORT AND PARTICIPATION IN OUR PREMIER ALLIANCE PARTNER PROGRAM.
PLATINUM LEVEL
GOLD LEVEL
SILVER LEVEL
MYIRIONLINE.ORG | 43 IRItheInstitutehe PresidentfollowingInsured (IRI) statement and todayRetirement CEO issuedCathy from AdministrationEmployeeDepartmentdeliveredWeatherford commentsBenefits ofafter Labor’sSecurityto(EBSA) theIRI lifetimestatementswhichofregarding Proposed would income its Advanced require to illustrations.Rulemaking, providebenefit Notice supportivelans.“WesuchdefinedThe ruleas 401(k)contribution ofwould themare and effectivelyapply 403(b)highly plans, to illustrationsprovidingsupporttheplan prevailing for retirement.thelifetime would needconcept stronglyprovideincome Given of Presidentfollowing(IRI)Insuredparticipants today Retirement statement andwith issuedaCEO better Institutefrom Cathy Thethe IRI ofregardingAdministrationEmployeeDepartment Proposed itsBenefits Advanced ofRulemaking, Labor’sSecurity (EBSA)Notice definedThelifetimestatementswhich rule would income contribution would requireto illustrations. apply providebenefit plans, to initiativessupportivelans.“Wesuch as 401(k) ofareto educationalandenhance 403(b)highly fortotheirAmericans’ help retirement. retirement them understanding effectively savingsGiven andtheplan of supportincomeeducationprevailing needs, theneedabout weconceptto stronglyimprovelifetime of illustrationsbenefitproviding statelife wouldonments.time participant provideincomeThese generatedmuchunderstandingparticipants income fromwith aboutsavin cana gs better howandbe illustrationsparticipantsgo a long way lifetime towardmay helpingincomespur moreparticipants and effectivelyhelp to thembegin tosaving plan for BorziAssistantretirement. for her Secretary leadershipWe Phyllisonthank this andforwardimportant the EBSAto workingissue. staff to Wewith work look herout themfinalany details rule,to continue andas they we to encouragepursue explore a asmeasuresadditional well to as increase the regulatory accessuse to,of, Retirementstrategies.”Theguaranteed lifetimeInstitute Insuredincome (IRI) andstatementtoday CEO issued Cathyfrom the IRIWeatherford Presidentfollowing Giveneffectivelyafter savings the prevailingplan and for to retirement.help need them to stronglylifetimeimprove supportincomeeducation theneeds, conceptabout we benefitillustrationsof providing statements. lifetimeon participant income These understandingparticipantsillustrations withwould aIRI adelivered providebetter Securityofcomments Labor’s Administration toEmployee the Department Benefits (EBSA) wouldProposedregarding itsRulemaking,require Advanced Notice benefitwhich of wouldincomestatements illustrations.apply to provideto The lifetimedefined rule highly401(k)contribution supportiveand 403(b) plans, of lans.“We educational such areas Cut the clutter. retirementunderstandinginitiatives to savings enhance andof Americans’ to theirhelp Keep current with what matters most. 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Secretary We Phyllisthank thisBorzi important for her leadershipissue. We look on 44 | VISION: IRI ANNUAL MEETING 2013 andforward the toEBSA working staff with to herwork aout final any rule, details and as wethey encourage pursue additionalthem to continue regulatoryto explore to,measures as well to asincrease the use access of, strategies.Theguaranteed lifetime Insuredincome todayRetirement issued Institutethe following (IRI) andstatement CEO Cathy from IRIWeatherford President toafter the IRI Department delivered comments of Labor’s AdministrationEmployee Benefits Security(EBSA) EXHIBITORS
IRI WOULD LIKE TO THANK THE FOLLOWING EXHIBITORS FOR THEIR PARTICIPATION AND SUPPORT IN THIS YEAR’S ANNUAL MEETING.
MERIDIAN-IQ Powered by S&P Capital IQ Research
Sign up for free industry updates at SmartBrief.com/iri_fa
MYIRIONLINE.ORG | 45 EXHIBIT HALL FLOOR PLAN
APLIFI, INC...... BOOTH 19 BRIGHTSCOPE, INC...... BOOTH 12 BROADRIDGE FINANCIAL SOLUTIONS, INC...... BOOTH 15 CALVERT INVESTMENTS ...... BOOTH 9 COMMUNICATION INTELLIGENCE CORPORATION (CIC)...... BOOTH 7 COOPERATIVE TECHNOLOGIES, INC...... BOOTH 2 EARTHINTEGRATE...... BOOTH 14 EASTSPRING INVESTMENTS...... BOOTH 11 EBIXEXCHANGE...... BOOTH 10 GATEWAY TO LEADERSHIP ...... BOOTH 1 GREAT AMERICAN INSURANCE GROUP ...... BOOTH 22 LASERAPP SOFTWARE ...... BOOTH 5 MERIDIAN- IQ ...... BOOTH 16 PAPERCLIP, INC...... BOOTH 3 PUTNAM INVESTMENTS ...... BOOTH 21 QUEST CE ...... BOOTH 6 RED ROCKS CAPITAL ...... BOOTH 17 RR DONNELLY ...... BOOTH 4 SOURCEMEDIA ...... TABLE TOP 2 (T-2) THE AMERICAN COLLEGE ...... TABLE TOP 1 (T-1) VERTAFORE ...... BOOTH 13 VIRTUS INVESTMENTS ...... BOOTH 20 WEALTHMANAGEMENT.COM ...... BOOTH 18
46 | VISION: IRI ANNUAL MEETING 2013 DIFFERENTIATE verb \,dif-a-˙ren(t)-shē-ā,t\ - To make something unique or distinct
SEE uS AT BooTh 17 To lEARN how ouR lIQuID PRIVATE EQuITY STRATEGY cAN hElP DIFFERENTIATE YouR PRoDucT lINE uP.
Unparalleled Access to Private Equity
As the first and largest domestic money manager to package listed private equity products, Red Rocks Capital provides private clients, institutional investors and financial professionals unrivaled access to some of the world's most prestigious private equity managers in a structure offering liquidity, transparency and flexibility.
The Red Rocks strategy represents over 60 years of private equity and public fund experience and is available in a variety of product structures including mutual funds, sub-advised relationships, separately managed accounts and select variable annuity contracts.
Red Rocks Capital, LLC 25188 Genesee Trail Road, Suite 250, Golden, CO 80401 303-679-8252 www.redrockscapital.com
MYIRIONLINE.ORG | 47 APLIFI, INC. BOOTH 19
Address: 500 W Cypress Creek Rd, Suite 700, Ft. Lauderdale, FL 33309 Contact: Michelle Fix, Marketing Manager Phone: (954) 788-0700 Email: [email protected] www.aplifi.com
Aplifi is a leading technology provider that focuses on the life insurance and financial services markets. Aplifi offers solutions that facilitate more compliant and “in good order” insurance trans- actions, driving increased business. Aplifi’s products include AFFIRM for Annuities, AFFIRM for Life, InsureSocket, I-Relay and PolicyBox. We Simplify Selling Insurance! Visit us at www.aplifi.com
BRIGHTSCOPE, INC. BOOTH 12
Address: P.O Box 910776, San Diego, CA 92191 Contact: Jeremy Ross, EVP, Institutional Sales Phone: (619) 405-7903 Email: [email protected] www.brightscope.com/beacon
BrightScope is a leading independent provider of software, analytics, and data to the financial services industry. BrightScope Beacon®, our SaaS enterprise product, is the premier data stew- ardship, integration, visualization, and exchange platform for the world’s top financial institu- tions. Beacon is the only holistic and flexible solution that connects disparate datasets to deliver unprecedented visibility into the mutual fund and broader financial products marketplace. With fully customizable and mobile-friendly dashboards, Beacon dramatically simplifies how organizations access and share real-time information. Visit ww.brightscope.com/beacon to see why asset managers, broker-dealers, and recordkeepers choose Beacon for their management reporting, sales tracking, and market intelligence needs.
48 | VISION: IRI ANNUAL MEETING 2013 EXHIBITORS
BROADRIDGE FINANCIAL SOLUTIONS, INC. BOOTH 15
Address: 200 Brickstone Square, Suite 504, Andover, MA 01810 Contact: Len Driscoll, Vice President Phone: (978) 247-7296 Email: [email protected] www.broadridge.com
Broadridge Financial Solutions, Inc., (NYSE:BR) is the leading provider of investor commu- nications and technology-driven solutions for broker-dealers, banks, insurance companies, mutual funds, and corporate issuers globally. Broadridge’s investor communications, securities processing, and operations outsourcing solutions help clients reduce their capital investments in operations infrastructure, allowing them to increase their focus on core business activities. With 50 years of experience, Broadridge’s infrastructure underpins proxy voting services for over 90% of public companies and mutual funds in North America, and processes more than $4.5 trillion in fixed income and equity trades per day. Broadridge employs approximately 6,200 full-time associates in 13 countries. For more information about Broadridge, please visit www. broadridge.com
CALVERT INVESTMENTS BOOTH 9
Address: 4550 Montgomery Avenue, Suite 1000N, Bethesda, MD 20814 Contact: Dave Mazza, Vice President, Institutional Sales Phone: (513) 266-4136 Email: [email protected] http://calvert.com
Calvert Investments is an investment management company that offers mutual funds and separate accounts to institutional investors, retirement plans, financial intermediaries, and their clients. By combing rigorous analysis with independent thinking, our disciplined approach to money management goes beyond traditional factors in order to manage risk and identify investment opportunities with greater long-term potential. We offer more than 40 equity, bond, cash, and asset allocation investment strategies, many of which feature integrated corporate sustainability and responsibility research. Founded in 1976 and based in Bethesda, Md., Calvert Investments managed assets of more than $13 billion as of August 31, 2011.
MYIRIONLINE.ORG | 49 COMMUNICATION INTELLIGENCE CORPORATION (CIC) BOOTH 7
Address: 275 Shoreline Drive, Suite 500, Redwood Shores, CA 94065-1413 Contact: Brett Mendenhall, Director, Insurance Solutions Phone: (650) 802-7730 Email: [email protected] www.cic.com
Communication Intelligence Corporation (“CIC”) (OTCQB: CICI), a leading supplier of electronic signature solutions and the recognized leader in biometric signature verification has emerged as the leading supplier of electronic signature solutions for top tier financial service companies. CIC solutions enable enterprises to fully execute Business Process Automation initiatives result- ing in truly paperless workflow and legally binding electronic transactions.
CIC‘s SignatureOne® Ceremony® Server (“SignatureOne”) provides a streamlined, easy-to-in- tegrate esignature solution that is the ultimate endpoint in true straight-through processing. SignatureOne is especially relevant when a signature is required to complete a transaction or to confirm transaction details prior to completion. CIC’s solution creates a legally binding signature with a full audit trail and a tamper evident “seal” that demonstrates a signer’s intention to be bound to a given transaction and prevents signature repudiation attempts. SignatureOne solu- tions meet SEC and FINRA compliance and regulatory requirements and adhere to the United States ESIGN and UETA electronic signature laws.
SignatureOne supports multiple types of esignature capabilities for the specific needs of insurance and financial services institutions. These options combine the benefit of a standard software solution with the flexibility of selecting an esignature method that meets our clients’ unique requirements, including from a relevant compliance and regulatory perspective. CIC’s solutions are available both in SaaS and on-premise delivery models.
50 | VISION: IRI ANNUAL MEETING 2013 EXHIBITORS
MYIRIONLINE.ORG | 51 COOPERATIVE TECHNOLOGIES BOOTH 2
Address: 1945 Cliff Valley Way, Suite 300, Atlanta, GA 30329 Contact: Cheri DeBoer-Stinson, Director of Business Development Phone: (404) 315-4450 ext. 104 Email: [email protected] http://www.cooperativetechnologies.com www.YellowPages.com
1035 Exchange and Transfer Solutions Unparalleled 1035 Exchange Solutions include a suite of robust, interactive software and service applications that provide insurance and financial organizations the ability to augment any part of their existing exchange process. CT 1035 Exchange Solutions support straight-through processing and comply with DTCC and ACORD Replacement standards.
Issue Policies Faster CT 1035 Exchange Solutions simplify and streamline the replacement process; slashing not-in- good-order replacements and helping clients issue their policies faster. Ceding Carrier Contact and Replacement Requirements Database: Web-service, website and in-house access to detailed replacement processing facts for thousands of annuity, life, mutual fund, bank and pension carriers. Electronic access allows reliable ceding carrier information to be automatically pulled into your order entry, new business and replacement workflows systems. Website access is available on any web-enabled device. Access options include the 1035YellowPages Lite and Full websites, 1035Contact Web Service and the CT1035 Exchange System integrated database.
CT1035 New Business Exchange System: Trusted by insurance leaders for nearly 20 years to cut operation costs, and increase earnings by providing straightforward management of workflow requirements involved in securing transfer funds. This hybrid system handles both traditional and paperless XML replacements from one processor interface allowing carriers of every size to automate their replacement process and accelerate policy issue. Integrated state, in-house and ceding carrier requirements from the CT Ceding Carrier Database help ensure compliance and eliminate NIGO replacements. This system provides, automated, customized correspondence including letter templates, email and XML messaging.
52 | VISION: IRI ANNUAL MEETING 2013 EXHIBITORS
EARTHINTEGRATE BOOTH 14
Address: 7021 Portwest Drive, Suite 190, Houston, TX 77024 Contact: Derrick Walker, National Sales Director Phone: (713) 589-7160 x1278 Email: [email protected] http://earthintegrate.com/
EarthIntegrate’s Pando Platform enables businesses to accelerate revenue growth and reduce costs by automating, monitoring and measuring their distributed marketing and sales initia- tives. Marketing professionals use the Pando Platform to centralize all of their organization’s content, allowing for customization and the ability to distribute that content across all channels including print, email, web, social and more.
EASTSPRING INVESTMENTS BOOTH 11
Address: 7601 Technology Way, 4th Floor, Denver, CO 80237 Contact: Pamela Aurbach, Senior Vice President, Institutional Sales, US Phone: (303) 224-7513 Email: [email protected] www.eastspringinvestments.com
Eastspring Investments is a $90 billion asset manager based in Singapore. We have been invest- ing in Asia for over 150 years, initially on behalf of our parent company, and over the past 18 years on behalf of institutional investors.
As part of an initiative to expand our business globally, Eastspring Investments has established a presence in the Americas based in Chicago. Specializing in Asian equities and fixed income in 11 markets, it is one of the largest onshore, multi-national asset managers in the region. As a manager focused on, and based in, Asia with a significant local presence, we are well positioned to capitalize on the Asian growth story.
MYIRIONLINE.ORG | 53 EBIXEXCHANGE BOOTH 10 Address: 1441 West Ute Boulevard, Suite 340, Park City, UT 84098 Contact: Doug Massey, Vice President, Sales Phone: (801) 376-2057 Email: [email protected] www.ebix.com EbixExchange is the premier On-Demand Software Exchange offering products and services that automate, expedite, and improve the entire sales and servicing process for the life insur- ance, annuity, property and casualty, and health insurance industries. EbixExchange is the single largest commercial provider of insurance and annuity automation. EbixExchange provides seamless straight-through processing from pre-sales research to post-issue servicing to dis- tributors and carriers. EbixExchange provides the most widely used CRM solutions, order-entry platforms, quoting engines, risk administration tools, compliance solutions, ePolicy delivery, data transformation solutions, and much more for the life insurance and annuity industry.
GATEWAY TO LEADERSHIP BOOTH 1 Address: 1737 M Street NW, Washington, DC 20006 Contact: Nate Yohannes, Vice President and Associate Counsel, Money Management Institute Phone: (202) 822-4949 Email: [email protected] http://gatewayleaders.org About Gateway to Leadership: Gateway to Leadership is a partnership between the Money Management Institute (MMI), its member firms and the UNCF (United Negro College Fund). The initiative seeks to improve the diversity profile of the financial services industry by providing -in ternships and career opportunities for high-achieving students from Historically Black Colleges and Universities (HBCUs). Begun in 2007, the Gateway program has already placed over 125 students in summer internships with MMI member firms, providing them with invaluable experience and exposure to the financial services industry, mentoring and career guidance, and relationships that will last a lifetime. About the Money Management Institute (MMI): Since 1997 MMI has been the leading voice for the global financial services organizations that provide advice and professionally-managed solutions to individual and institutional investors. Through industry advocacy, educational initiatives, regulatory affairs, data reporting and professional networking, MMI supports and ad- vances the growth of advisory solutions. For more information, visit www.moneyinstitute.com.
54 | VISION: IRI ANNUAL MEETING 2013 EXHIBITORS
GREAT AMERICAN LIFE INSURANCE COMPANY BOOTH 22
Address: 301 E. 4th Street, Cincinnati, OH 45202 Contact: Joe Maringer, National Sales Vice President Phone: (800) 438.3398, ext. 11999 Email: [email protected] www.gafriss.com
Great American Life®, a member of Great American Insurance Group®, and subsidiary of American Financial Group, Inc., is a financially strong annuity provider rated “A+” by Standard & Poor’s and “A (Excellent)” by A.M Best. We are a top 5 provider of fixed and fixed-indexed annuities in the- fi nancial institutions market, with a competitive lineup of guaranteed income and enhanced death benefit riders. We are proud to be an American company with a heritage dating back to 1872. For more information, visit www.GAFRISingleSource.com or contact us via the information below.
INSURANCE TECHNOLOGIES BOOTH 8
Address: 2 South Cascade Avenue, Suite 200, Colorado Springs, CO 80903 Contact: Kristin Wills, Vice President, Marketing Phone: 719-442-6400 Email: [email protected] www.insurancetechnologies.com
Insurance Technologies provides innovative sales and regulatory automation solutions to the insurance and financial services industries. Our product suite supplies carriers and distribution partners the accurate tools to automate and accelerate the sales process allowing more time to develop new sales opportunities. ForeSight™ is a mobile point-of-sale illustration platform that supports all aspects of the insurance sales process for multiple lines of business across diverse distribution channels with customized user experience and content branding options. FireLight® is a device-agnostic, user-friendly, easy to deploy e-application business fulfillment platform that automates any existing sales process across all lines of business facilitating straight-through processing.
MYIRIONLINE.ORG | 55 LASER APP SOFTWARE BOOTH 5
Address: 3190 Shelby St, Ste D-100, Ontario, CA 91764 Contact: Blake Bjordahl, Product Sponsor Relationship Manager Phone: (800) 985-2174 x 133 Email: [email protected] www.laserapp.com
Laser App Anywhere is the first of its kind purely HTML e-forms solution. Advisors can use ex- isting contact data to prefill forms in Laser App’s massive digital library. Once annuity, BD, and insurance forms are completed online by advisors, they can be electronically signed & securely transmitted. With over 100,000 users and 11+ million downloads annually, Laser App is highly adopted by agents & advisors. This group continues to grow as Laser App Anywhere makes Laser App’s e-library available via mobile devices.
MERIDIAN-IQ BOOTH 16
Address: 1500 Broadway, Suite 2900, New York, NY 10036 Contact: Greg Sauer, Senior Vice President, Advisor Channel Phone: (646) 867-6456 Email: [email protected] www.Meridian-IQ.com
Meridian-IQ is the newest, deepest and most up-to-date database of financial intermediaries on the market. We have hundreds of data points on every RIA and Financial Advisor across the country, with unique and actionable information that no other firm possesses. The company Meridian-IQ has workflow tools that make it easier to perform your job of working with – and selling to- businesses operating within the financial services industry. Our Meridian-IQ’s system was designed by experts in the advisor industry, and database with industry-leading product development.
56 | VISION: IRI ANNUAL MEETING 2013 EXHIBITORS WE WEREN’T GOING TO SIT THIS ONE OUT.
ING U.S. is proud to sponsor Vision, the 2013 IRI Annual Meeting.
At ING U.S., it’s our mission to guide Americans on their journey to greater retirement readiness and to help make a secure financial future possible — one person, one family and one institution at a time. That’s why we provide a comprehensive mix of retirement, investment management and insurance products and services.
For more information, call ING Sales Desk at 800-369-5301.
168197 09/04/2013
Products and services offered through the ING family of companies. © 2013 ING North America Insurance Corporation CN0524-10264-0515 For agent use only. Not for public distribution.
MYIRIONLINE.ORG | 57 PAPERCLIP BOOTH 3
Address: 1 University Plaza, Suite 518, Hackensack, NJ 07601 Contact: Suzanne G. Tuck, Vice President of Sales Phone: (201) 337-3547 Email: [email protected] www.paperclip.com
PaperClip Incorporated is an innovative software development and services company with 22 years of experience and over 301 million electronic documents exchanged in a popular straight through processing model for the financial service industries. PaperClip focuses on industry business problems and delivers emerging technology solutions that help to satisfy an industry as a community. PaperClip identifies with the independent distribution channels, providing document management, document exchange, and email encryption services, all designed to be simple but effective.
PUTNAM INVESTMENTS BOOTH 21
Address: One Post Office Square, Boston, MA 02109 Contact: Jeff Aaron, Senior Relationship Manager, Strategic Accounts Phone: (617) 760-8259 Email: [email protected] www.putnam.com
Founded in 1937, Putnam Investments is a leading global money management firm. Putnam offers investors a world of equity, fixed-income, multi-asset, and absolute-return portfolios to suit a range of financial goals. Our portfolio managers seek superior results over time, backed by original, fundamental research on a global scale. We believe in the value of experienced finan- cial advice, in providing exemplary service, and in putting clients first in all we do.
58 | VISION: IRI ANNUAL MEETING 2013 EXHIBITORS
QUEST CE BOOTH 6
Address: 10850 West Park Place, Suite 1000, Milwaukee, WI 53224 Contact: Alex Krenke, Vice President, Sales, Marketing and Client Services Phone: (877) 593-3366 Email: [email protected] www.questce.com
For over twenty-five years, Quest CE has built a reputation for being the premier provider of insurance continuing education and compliance training solutions to the financial services in- dustry. In addition to offering on-demand continuing education for insurance and designation professionals holding their insurance licenses and professional designations, such as CFP, CPA, CLE, CIMA and CLU/ChFC, Quest CE also provides a complete spectrum of fully-customizable technological solutions which automate, centralize and simplify compliance management for over 620 leading insurance carriers and other financial institutions. Quest CE’s robust suite of services include Providership Administration, Continuing Education, NAIC Suitability Training and Compliance Supervision.
’ NEST EGGS AS GLOBAL AS ?
RETIREMENT INVESTING FOR THE DECADE AHEAD™ At Franklin Templeton, we offer more than 20 global and international funds covering a wide range of geographies, asset classes and investment styles. Our extensive product line and dedication to managing investment risk make our funds well suited to being part of a globally diversi ed retirement portfolio. Learn more at franklintempleton.com/global.
You should carefully consider a fund’s investment goals, risks, charges and expenses before investing. You’ll nd this and other information in the fund’s summary prospectus and/or prospectus, which you can obtain from your nancial advisor. Please read a prospectus carefully before investing. All investments involve risks, including possible loss of principal. Foreign investing involves special risks including currency uctuations, economic instability and political uncertainties. Franklin Templeton Distributors, Inc., One Franklin Parkway, San Mateo, CA 94403 © 2013 Franklin Templeton Investments MYIRIONLINE.ORG | 59
FTI_NESTEGGMAG_5.5x4.25_IRI_090113.indd 1 8/23/13 3:43 PM RED ROCKS CAPITAL BOOTH 17 Address: 25188 Genesee Trail Road, Suite 250, Golden, CO 80401 Contact: Richard Baker, Business Development, Phone: 303-679-8252 x 26 Email: [email protected] www.redrockscapital.com Red Rocks Capital LLC specializes in liquid private equity and other private asset investments. As the first and largest domestic money manager to package liquid private equity products, Red Rocks opens the door to an asset class typically reserved for only the wealthiest, most disciplined investors and is available in a variety of product structures including mutual funds, sub-advised relationships, separately managed accounts, and select variable annuity contracts. The Red Rocks Strategy provides easy access to top private equity managers throughout the world in a structure that is liquid, priced daily and diversified across manager, industry, geogra- phy and vintage; with low minimum investments, no lock-up periods and simple tax reporting.
RR DONNELLEY BOOTH 4 Address: One Washington Mall Suite 400, Boston, MA 02108-2693 Contact: John Hagerty, Vice President, Business Development & Applications Phone: (617) 556-8309 Email: [email protected] www.rrdonnelley.com
RR Donnelley’s Global Investment Markets team helps Variable Annuity companies manage and distribute compliance and customer communications to gain efficiency and improve the investor’s experience.
We offer a comprehensive range of print, mail and e-delivery capabilities integrated to optimize the preparation, production and delivery of your documents over multiple communication channels.
RR Donnelley’s superior technology combined with our workflow, content management, delivery optimization and compliance expertise make it easier for you to reach your investors, comply with SEC/FINRA regulations and reduce costs.
Learn more about how we bring control, quality and efficiency to your communications pro- gram. Discover how you can create, manage, translate, publish and distribute all your critical communications at www.rrdgim.com
60 | VISION: IRI ANNUAL MEETING 2013 EXHIBITORS
SOURCEMEDIA TABLE TOP 2 (T-2)
Address: One State Street Plaza, 25th Floor, New York, NY 10004 Contact: Mike Schott, Publisher, Financial Planning & Bank Investment Consultant Phone: (212) 803-8567 Email: [email protected] www.sourcemedia.com
SourceMedia, Inc. is the leading business-to-business publisher serving the needs of finan- cial professionals. Our Financial Planning, On Wall Street and Bank Investment Consultant brands provide the most comprehensive suite of print, digital, mobile and live event content for advisors in the independent/RIA, wirehouse/regional firm and bank brokerage channels respectively. Our combined reach of nearly 370,000 investment advisors and financial plan- ners is unmatched in the media industry. Please visit us at www.financial-planning.com www. onwallstreet.com and www.bankinestmentconsultant.com.
THE AMERICAN COLLEGE TABLE TOP 1 (T-1)
Address: 270 S. Bryn Mawr Avenue, Bryn Mawr, PA 19010 Contact: John Pyndus, Vice President of Sales and Marketing Phone: (610) 526-1000 Email: [email protected] www.theamericancollege.edu
The American College, a nonprofit educational institution with the highest level of academic accreditation is dedicated to innovative learning and development for financial services profes- sionals. Offering specialized designation programs, including the popular Retirement Income Certified Professional(r), two Masters degrees, and a new PhD program, the College has been helping financial advisors enhance professionalism since 1927. Web address: www.theamericancollege.edu.
MYIRIONLINE.ORG | 61 VERTAFORE PRODUCER LIFECYCLE MANAGEMENT BOOTH 13
Address: 11724 NE 195th Street, Bothell, WA 98011 Contact: John Chaney, Sales Executive Phone: (517) 381-3857 Email: [email protected] www.vertafore.com
As new regulations are adding new hassles, are your agents and representatives able to stay focused on selling to their customers? Carriers and agencies use Vertafore’s Producer Lifecycle Management license and registration services to improve the rep experience and reduce the cost of keeping those reps authorized to sell. Our experts are trusted by more than 20 state regulators and have helped process millions of transactions. We are ready to help you to avoid the cost and embarrassment of a failed market conduct exam.
VIRTUS INVESTMENT PARTNERS BOOTH 20
Address: 100 Pearl Street, Hartford, CT 06103 Contact: Matthew Hamel, CIMA ®, Managing Director, DCIO Phone: (860) 463-4889 Email: [email protected] http://www.virtus.com/
Virtus is a distinctive partnership of investment managers committed to the long-term success of investors. We provide access to a variety of investment styles from which clients and their advisors can design customized solutions.
62 | VISION: IRI ANNUAL MEETING 2013 EXHIBITORS
WEALTHMANAGEMENT.COM BOOTH 18
Address: 1166 Avenue of the Americas, New York, NY 10036 Contact: Rich Santos, Group Publisher Phone: (212) 204-4277 Email: [email protected] www.wealthmanagement.com
WealthManagement.com is the new digital resource of REP. and Trusts & Estates that’s specifi- cally designed to help financial advisors and estate planning professionals stay knowledgeable about the latest investment ideas, industry data, legal and tax issues, and market trends needed to build and maintain strong client relationships. It provides valuable tools that help them better manage the daily activities of their practice, connect with essential members of the com- munity, and be more effective in growing their business.
Your source for the Alternative.
Find out why choosing Jackson® is Long-term Smart.® www.jackson.com
Jackson is the marketing name for Jackson National Life Insurance Company® (Home Offi ce: Lansing, Michigan) and Jackson National Life Insurance Company of New York® (Home Offi ce: Purchase, New York). Jackson National Life Distributors LLC.
Not FDIC/NCUA insured • May lose value Not bank/CU guaranteed • Not a deposit Not insured by any federal agency
CMV8871SLC 10/12 MYIRIONLINE.ORG | 63 CONFERENCE SPONSORS
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CONFERENCE CO-CHAIRS Ross Goldstein Brian T. Shea Director, Annuity Marketing President, Investment Services and Head of New York Life Insurance Company Client Service Delivery and Client Technology Chris Grady Solutions; BNY Mellon Chairman, Pershing LLC Executive Vice President and Head of Retail Annuities Caroline O’Connell Athene Annuity and Life Assurance Company Chief Strategy Officer, Global Strategy, Marketing and Communications Michael Hart Pershing LLC, a BNY Mellon company Senior Vice President, Managing Director, Insurance IRI STAFF LIASON AllianceBernstein Ben Huneke Catherine J. Weatherford Managing Partner President and Chief Executive Officer Morgan Stanley Wealth Management Insured Retirement Institute Bill Loehning PLANNING COMMITTEE Executive Vice President, Insurance and DCIO Relationship Management David Bedard Fidelity Investments Institutional Services President, Annuities Joe Maringer ING Retirement National Sales Vice President Dewey Bushaw Great American Insurance Group Executive Vice President - Retirement Robert Moore Solutions Division President Pacific Life Insurance Company LPL Financial Mitch Caplan Betsy Palmer Chief Executive Officer Senior Vice President, Communications and Jefferson National Marketing Mike Cefole TIAA-CREF Senior Vice President and Head of Retirement Larry Roth Solutions Division Past Chairman Guardian Insurance and Annuity Company IRI Board of Directors Greg Cicotte Mike Saliba President Managing Director Jackson National Life Distributors BlackRock Bruce Ferris Bob Rimer Executive Vice President, Sales and Vice President, Annuities Distribution, Product, Marketing Raymond James Insurance Group Prudential Annuities Andrew Wilmot Will Fuller Managing Director President and CEO Allianz Global Investors Lincoln Financial Group
David Giertz Head of Distribution and Sales Nationwide Financial
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Larry Roth—Past Chairman* President & CEO IRI Board of Directors Lincoln Financial Distributors
John L. Carter—Vice Chairman* Ben Heunke President & COO, Nationwide Retirement Managing Partner Plans Morgan Stanley Nationwide Financial Nick Lane Lynne Ford—Past Chairman* Senior EVP, President, Retirement Savings Executive Vice President AXA Equitable Calvert Investments Drew Lawton Robert J. Moore—Treasurer* Executive Vice President, Head of Retirement President & COO Solutions LPL Financial New York Life Investments
Thomas F. Streiff—Secretary* William F. Loehning EVP, Retirement Product Manager EVP, Insurance and DCIO Relationship PIMCO Management Fidelity Investments Institutional Services Catherine J. Weatherford—President* President and CEO Bill Lowe Insured Retirement Institute (IRI) President Sammons Retirement Solutions Maliz Beams CEO Paula Nelson ING U.S. Retirement Executive Vice President Forethought Life Insurance Company Greg P. Cicotte President John Papadopulos Jackson National Life Distributors President, Wells Fargo Retirement Wells Fargo & Company Robert DeChellis President, Allianz Life Financial Services Brian T. Shea Allianz Life Insurance Company of North President, Investment Services, BNY Mellon America Head of Client Service Delivery and Client Technology Solutions, BNY Mellon Michael Falcon Chairman, Pershing LLC, a BNY Mellon Managing Director, Head of Retirement company J.P. Morgan Asset Management David C. Tyrie Bruce Ferris Managing Director, Head of Personal Wealth EVP Sales and Distribution & Retirement Prudential Annuities Global Wealth & Retirement Solutions, Bank of America Merrill Lynch Elizabeth M. Forget Senior Vice President, MetLife Retail Annuity Cindy A. Vogl Products Executive Director, Retirement and Advisory MetLife Solutions UBS Global Asset Management (Americas) Inc. Will H. Fuller * Executive Committee
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Sonia Ahuja Pamela Aurbach Executive Vice President SVP Institutional Sales, US BrightScope Eastspring Investments
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Ken Allen Richard Babineau Vice President Investment Research Vice President, Product Management Prudential Financial Broadridge Financial Solutions Inc.
Liz Altman-Harberger Gary Baker Senior Vice President, Product Marketing & President, U.S. Division Communications CANNEX Financial Exchanges SunAmerica Retirement Markets Richard Baker Karen Alvarado Business Development AVP Technology Compliance & Audit Red Rocks Capital Pacific Life Insurance Company Victoria Baksa Tina Ambrozy Assistant Vice President Vice President, Sales Development Pershing LLC Nationwide Financial Rachel Barrow Jonathan Anderson Director, Marketing Vice President Institutional Sales Guardian Insurance & Annuity Co. BrightScope Leslie Bednar Richard Aneser Institutional Income, Innovation and Capital SVP-LFD CMO Markets Marketing Strategy Lincoln Financial Group Distribution Prudential Financial
Kimberly Arguello Andy Beiger Vice President Institutional Sales Vice President BrightScope Jennison Associates
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Laura Bentzien Mike Brandriet Account Manager Senior Vice President Relationship Management Pacific Investment Management Company Business Development (PIMCO) Allianz Life Insurance Company
Chris Bergeon Suzanne Brazeal Vice President VP, Business Automation Strategies Great-West Life and Annuity Insurance Com- VERTEX, Inc. pany Mike Bridges Christopher Bergeon President Vice President PaperClip Inc. Great-West Life and Annuity Insurance Com- pany Amanda Broomell Marketing Manager Annemarie Bernardone Pacific Investment Management Company Managing Director Product Management & (PIMCO) Marketing Charles Schwab and Co., Inc. James Brown SVP Marketing/Training & Education/Product Blake Bjordahl Sales Product Sponsor Relationship Manager Advisor Group Laser App Software Adam Bryan *Norse Blazzard Managing Director Principal DTCC (Depository Trust & Clearing Corpora- Blazzard & Hasenauer, P.C. tion)
Andrew Blumberg Melissa Buccilli Group Director, Analytic Reporting Key Accounts Manager DTCC (Depository Trust & Clearing Corpora- Schroder Investment Management tion) Kathryn Burke David Bone Vice President Competitive Intelligence Analyst Goldman Sachs Asset Management Guardian Insurance & Annuity Co. Bob Burlin John Bonvouloir Vice President & Director, Business Development Managing Director, Retail Annuities Corporate Insight, Inc. New York Life Insurance Company Daniel Cahill Kevin Bowens Vice President VP Marketing Neuberger Berman Management, Inc. SunAmerica Retirement Markets
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Mike Cain Scott Charlton Director Vice President Broadridge Financial Solutions Inc. Federated Investors
Cynthia Campbell Chelle Chase Director, Operations Relationship Management Vice President, Strategic Sales Programs Jackson National Life Symetra Financial
Mark Caner John Cheney President Sales Executive Western & Southern Financial Group Vertafore
Mitchell Caplan Donelle Chisolm CEO VP, Third Party Strategic Accounts Jefferson National OppenheimerFunds, Inc.
Steve Cardinal Wayne Chopus Executive Vice President & Chief Marketing Senior Vice President, Head of Strategic Rela- Officer tionship Management Horace Mann Life Insurance Co. Prudential Financial
John Carter Greg Cicotte President & COO, Nationwide Retirement Plans President Nationwide Retirement Plans Jackson National Life
John Cassano Lindsey Cipro Director, Index Sales Relationship Manager Nasdaq Global Indexes Ivy Funds
Bob Cassato Jon Clement John Hancock Financial Network Director MFS Investment Management Chip Castille Head of Defined Contribution Jerome Clement BlackRock President PKS Financial Mara Cergol Director Michael Cobianchi Pershing LLC Vice President, Institutional Marketing Waddell & Reed Robert Chamerda Director, Competitive Intelligence, Retirement Michael Cogswell Solutions SVP, Product Manager - Retirement Solutions Guardian Insurance & Annuity Co. Pacific Investment Management Company (PIMCO) Travis Champion Vice President, Sales David Cohodes Insurance Technologies Executive Director, Investment Products & Services Morgan Stanley
* Hall of Fame AWARD Recipient
70 | VISION: IRI ANNUAL MEETING 2013 Bennett Coleman Daniel Cronin Director Franklin Templeton Investments Deutsche Asset & Wealth Management Vic Curtis Will Coleman Director, Relationship Management Head of Variable Annuity and Sub Advisory MFS Investment Management Institutional Services Legg Mason, Inc. Al Dal Porto Vice President, Product Development Mark Coneeny Security Benefit Head of Relationship Management Putnam Investments Anne Daly Director, Strategic Relaionship Management Peter Conneely MetLife Senior Vice President, Investment-Only Sales Franklin Templeton Investments Chris Davis President Kevin Connor Money Management Institute National Sales Manager WealthVest Marketing, Inc. Cheri DeBoer-Stinson Director, Business Development Llewellyn Cook Cooperative Technologies, Inc. Executive Director, Financial Institutions Group Lincoln Financial Distributors Robert DeChellis President & CEO Brad Cornell Allianz Life Financial Services Senior Vice President, Sponsor Relations LPL Financial Ed DeMarino Vice President & Director, Financial Institutions Mark Cover Janus Capital Group Vice President T. Rowe Price Group, Inc. Mark Dence Director, Investment Only Steve Coyle Columbia Management Distributors, Inc. Managing Director, Head US Sub-Adviosry State Street Global Advisors Bob Densmore Senior Vice President, National Sales Manager Susan Crabtree Allianz Life Insurance Company Senior Vice President, Marketing Western & Southern Financial Group Lisa DeSimone Senior Vice President – Retirement Plan Services Catherine Crandall Lincoln Financial Group Senior Account Executive Invesco Doug Dhom Senior Account Executive Richard Cresta Invesco SVP, Institutional Insurance Sub Advisory Divi- sion Manager Glenn Dial Fidelity Investments Managing Director, Head of US Retirement Distribution Allianz Global Investors
MYIRIONLINE.ORG | 71 ATTENDEE LIST AS OF 9/5/2013
Steven Dillman Bruce Ferris Sr. Vice President Executive Vice President, Sales, Distribution, BNY Mellon Asset Management Strategic Product Management & Marketing Business Development Prudential Financial
Christina Dolan Terri Fiedler Vice President Executive Vice President, Strategic Accounts BlackRock AIG Financial Distributors
Kevin Dolan Mark Finn I/O Business Development Manager Director, Sales and Business Development Capital Group Companies InvestmentNews
Joyce Donadio John Finnerty Vice President, Relationship Management Director National Accounts State Street Global Advisors MFS Investment Management
Bill Duncliffe Michele Fisher Director Head of Sales Support Broadridge Financial Solutions Inc. Forethought Financial Group
Scott Dunn Elizabeth Flowers Vice President Manager Prudential Financial State Farm Life Insurance Company
Marlene Edeen Lynne Ford Vice President & Finance Manager Executive Vice President & Head of Distribution Wells Fargo & Company Calvert Investments
David Eikenberg Liz Forget Vice President Senior Vice President, Retail Annuity Products T. Rowe Price Group, Inc. MetLife
Michael Falcon Judson Forner Managing Director & Head of Retirement Sr. Analyst - Investment Marketing JP Morgan Asset Management ValMark Securities, Inc.
Atticus Fallon Joseph Fournier Executive Director Executive Vice President, Account Manager JP Morgan Asset Management Pacific Investment Management Company (PIMCO) Karen Farley VP, Strategic Accounts Shane Fraley AXA Distributors Business Analyst Vertafore Chris Felchlin SVP Randy Gabrielson Franklin Templeton Investments Senior Vice President Bank Channel Allianz Life Insurance Company Michael Ferraro Vice President AllianceBernstein * Hall of Fame AWARD Recipient
72 | VISION: IRI ANNUAL MEETING 2013 Bob Gager Marci Green Director, Relationship Management Vice President Lincoln Financial Group Goldman Sachs Asset Management
Dennis Gallant Tiffany Greenhouse President Executive Director Gallant Distribution Consulting MSCI
Javier Garofalo * Jana Greer Director President & CEO (SARM) Universal Life Insurance Company SunAmerica Retirement Markets
Karen Gemmill Frank Gregory Head of Product Innovation, Fixed and Life Products Munish Grover Allianz Life Insurance Company Senior Vice President Lazard Asset Management Brenda Gempler Senior Vice President, National Accounts Daniel Guilbert Forethought Financial Group EVP, Retirement Division Symetra Financial Kerry Geurkink Marketing Director Khushbu Gupta Securian Vice Presidetn Allianz Global Investors David Giertz President, NFS Distributors, Inc. Whitney Hagstrom Nationwide Financial Manager of Business Development Quest Continuing Education Solutions (Quest *Michael Gilotti CE) Vice President of New Business Development General Re-New England Asset Management, Brooks Hamblett Inc. Senior Vice President Cohen & Steers Capital Management, Inc. Ross Goldstein Managing Director, Annuity Marketing Matthew Hamel New York Life Insurance Company Managing Director Virtus Investment Partners, Inc. Chris Grady EVP & Head of Retail Annuities Jeff Hamilton Athene Annuity & Life Assurance Company VP, IAO Business Development Lincoln Financial Group Kevin Granelli Managing Director Victoria Hamilton Guggenheim Investments Sales Manager SourceMedia Jeff Grant National Sales Manager, Life & Annuities Brian Hanna TIAA-CREF Vice President, Insurance Services AllianceBernstein
MYIRIONLINE.ORG | 73 ATTENDEE LIST AS OF 9/5/2013
Craig Harm Senior Vice President - Relationship Manager Lisa Hoyne Fidelity Investments Director of Marketing Woodbury Financial Services Mike Hart SVP/Managing Director, Insurance Services Jason Hudes AllianceBernstein Vice President Goldman Sachs Asset Management *Judith Hasenauer Principal Benjamin Huneke Blazzard & Hasenauer, P.C. Managing Director Morgan Stanley Wealth Management Mike Hashbarger Director of Internal Sales Lisa Huot Allianz Life Insurance Company Senior Vice President Sequoia System International Tom Hauptli SVP, Operations Bill Hurley Wells Fargo & Company Executive Director Morgan Stanley Investment Management Inc. Craig Hawley General Counsel & Secretary Gilliane Isabelle Jefferson National Reginal Vice President VALIC (Variable Annuity Life Insurance Com- Chris Hedges pany) Managing Director MFS Investment Management Diane Jackson SVP, Channel Relationship Management Simeon Hernandez Fidelity Investments SVP, National Sales Manager Forethought Financial Group Robert Jameison Sr. Vice President, Institutional Ins. Sub Advisory Michael Herron Division Sr. Vice President, Account Executive Fidelity Investments Lincoln Financial Distributors Jonathan Jarrell Bryan Hodgens Wholesaler Manager SVP, Director of Sales, Retail Retirement Wells Fargo & Company Wells Fargo & Company Ryan Johnson Dan Holley VP, Strategic Business Development SVP SE2 SunAmerica Retirement Markets Todd Jones Grady Holt Vice President Head of Fund Management Federated Investors Sammons Financial Group Ryan Jones Matthew Housel SVP Marketing Franklin Templeton Investments Franklin Templeton Investments * Hall of Fame AWARD Recipient
74 | VISION: IRI ANNUAL MEETING 2013 Eric Jones Alex Krenke Senior Vice President | Advice & Product Solu- Vice President of Sales, Marketing and Client tions Services TIAA-CREF Quest Continuing Education Solutions (Quest CE) Nancy Jordan Sr. VP, Individual Annuities Operations Brian Kroll Lincoln Financial Group Head of Annuity Solutions Lincoln Financial Group Brian Kampe Sales Manager Joshua Kutenplon Great American Insurance Group Funds Management Group Guardian Insurance & Annuity Co. Kevin Keefe Executive Vice President Bill Kuzmich Advisor Group SVP, Managing Director SunAmerica Retirement Markets Maria Keith Vice President, Alternative Investments Nick Lane First Allied Securities, Inc. Senior Executive Director and President, Retire- ment Savings Thomas Kelleher AXA Equitable Director, Operations Relationship Management Jackson National Life Marcia Larson Senior Manager, Annuity Products Sean Kelly CUNA Mutual Insurance Society Senior VP & Managing Director, DCIO & Sub-Ad- visory Services Andy Laster Eaton Vance Distributors, Inc. National Sales Manager Invesco Steve Kelly SVP, Investment Platform Division Rich LaVoice Franklin Templeton Investments Executive Vice President, Retirement Sales Terry Kelly Symetra Financial Director of Sales/Retirement Invesco Richard Lee Institutional Specialist Specialist Kevin Kennedy Capital Group Companies Managing Director - Head of Business Develop- ment & 401(k) Kevin Lehman AXA Distributors VP Business Development ING Retirement John Kennedy Head of Retirement Solutions Distribution Gordon Linke Lincoln Financial Distributors Sr. Vice President, Account Manager Pacific Investment Management Company Steve Kluever (PIMCO) Head of Investment Platform Division Franklin Templeton Investments Jim Livingston EVP, Operations JNLD Jackson National Life Distributors
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Rich Loconte Stefne Lynch Director and Assistant General Counsel, Govern- Relationship Manager ment Affairs MassMutual Financial Group AIG (American International Group) Steve Maginn Lauren Loehning President & CEO Director, Sub-Advisory/DCIO Sales AIG Financial Distributors Eaton Vance Distributors, Inc. *Jane Mancini *Bill Loehning CEO Executive Vice President, Insurance Relationship I-Pension Management Fidelity Investments Mike Manning Vice President, National Accounts Manager *Scott Logan Federated Investors Financial Planner A. Scott Logan, JD, LLM (Taxation), CFP Joe Maringer National Sales Vice President Aadil Lokhandwala Great American Insurance Group Senior Product Analyst Lincoln Financial Group Susan Marino Senior Vice President, National Accounts Craig Lombardi Van Eck Global Managing Director, Head of Sub-Advisory and Defined Contribution Sales Larry Mark AllianceBernstein Vice President and Chief Communications Officer Gavin Long AIG Life and Retirement Product Manager Broadridge Financial Solutions Inc. Doug Massey VP, Sales William Lowe EbixExchange President, Sammons Retirement Solutions Sammons Financial Group Brian Mastrullo Associate Director, Relationship Management Paul Lucas MFS Investment Management Director BlackRock Beth Maziad Vice President Patrick Lulley Raymond James Insurance Group Vice President, DCIO & Insurance Sales Van Eck Global Dave Mazza Institutional Vice President Ian Lundahl Calvert Investments Senior Analyst Corporate Insight, Inc. Michael McCarthy Chief Sales Officer John Luviano AXA Distributors Vice President, Finance Lincoln Financial Group
* Hall of Fame AWARD Recipient
76 | VISION: IRI ANNUAL MEETING 2013 Michael McClary Eric Michaud Chief Investment Officer Director, Relationship Management, Annuity ValMark Securities, Inc. Services New York Life Insurance Company Susan McClure Manager, Business Development Steve Miller ALPS Advisors Sr. Director, Projects and Strategic Planning Allianz Life Insurance Company Robert McCommon Sr. VP Director of Annuity Sales & Operations Rod Mims Wunderlich Securities SVP & National Sales Manager Athene Annuity & Life Assurance Company Bruce McCutcheon Directror, Investment Only Robi Minogue Columbia Management Distributors, Inc. Vice President Goldman Sachs Asset Management Marc McFarland Senior Vice President, Financial Services Virginia Moncure Adams & Knight Partner Development Associate SmartBrief Kevin McGarry Director - Retirement Income Strategies Jennifer Monroe Nationwide Financial Institutional Account Consultant Calvert Investments Alicia McGrail Director, Partner Development Charlotte Mooney SmartBrief Head of Marketing ING Retirement Shaun McNeill VP Sales for Insurance Robert Moore Broadridge Financial Solutions Inc. President LPL Financial Dave Mebius National Accounts Manager Chris Moran Great American Insurance Group Executive Director, National Sales Manager JP Morgan Asset Management Michele Melville Senior Vice President, Retail Retirement Bruce Morris Wells Fargo & Company Executive Vice President & Managing Director SourceMedia Stacy Mercer Director, Marketing and Strategic Initiatives *Merry Mosbacher Sammons Financial Group Principal, Insurance Marketing Edward Jones Matthew Meyer Director Sharon Mossman Lincoln Financial Group SVP of Institutional Sales BNY Mellon Investment Management Philip Michalowski VP Annuity Product Marketing MassMutual Financial Group
MYIRIONLINE.ORG | 77 ATTENDEE LIST AS OF 9/5/2013
Sean Mulkerron Kevin O’Leary Business Development Manager Head of Product Distribution Cogent Research TIAA-CREF
Pam Mullenbach Michael O’Neill National Sales Manager VICE PRESIDENT BlackRock Commonwealth Annuity & Life Insurance
John Murray III Thomas O’Neill Sr. Relationship Manager COO and Head of Financial Institutions Group Symetra Financial Lincoln Financial Group Distribution
Neal Nakagiri Sandra Palmer President, CEO, CCO VP, National Account Manager NPB Financial Group LLC Legg Mason, Inc.
Paula Nelson John Papadopulos Evecutive Vice President President, Wells Fargo Retirement Forethought Financial Group Wells Fargo & Company
Will Nelson Gary Parent President, Southwest Insurance Agency Business Solution Architect Southwest Securities VERTEX, Inc.
Mark Nevins Bill Patterson Senior Director, Sales Director, National Accounts EbixExchange Aplifi
Jerry Nigro Marion Patterson National Director, Strategic Relationship Man- Director, Subadvisory Marketing agement BNP Paribas Investment Partners MetLife Dave Paulsen Kirk North CEO, Chief Sales Officer National Sales Manager Transamerica Capital Management Lincoln Financial Distributors Chris Pernicano Malott Nyhart SVP, Solution Services Divisional President, Single Premium & Financial Aplifi Institutions Great American Insurance Group David Peterson Managing Director-Head of Insured Solutions Caroline O’Connell UBS Financial Services Inc. Chief Strategy Officer, Managing Director Pershing LLC Donna Peterson SVP, Strategy Analyst Neil Odams Wells Fargo & Company Associate Director, National Accounts MFS Investment Management Thomas Pistole Consultant DTCC (Depository Trust & Clearing Corporation) * Hall of Fame AWARD Recipient
78 | VISION: IRI ANNUAL MEETING 2013 Robert Powell Jeremy Ross Marketing Director EVP, Institutional Sales Laser App Software BrightScope
Meredith Pyne Larry Roth Associate Past Chair AQR Capital Management IRI Board of Directors
John Rafferty Mike Saliba Vice President, Retirement Marketing Managing Director Symetra Financial BlackRock
Ann Raible Steven Saltzman VP, Business Development Managing Principal Jefferson National Kehrer Saltzman & Associates
Seamus Ray Tony Salvi Vice President Key Accounts Sales Executive T. Rowe Price Group, Inc. Vanguard Group, Inc.
Kevin Reardon Greg Sauer Regional Sales Manager SVP, Advisor Channel InvestmentNews Meridian-IQ
Mike Reardon Rob Scheinerman Director of Business Development Chief Product Officer Wells Capital Management AIG Life & Retirement
Alison Reed Melissa Scheuerman Senior Vice President of Product and Investment Business Development Management Sammons Financial Group Jackson National Life Distributors, LLC Joel Schiffman Marie Rice Senior Relationship Manager - Investment Only Vice President, Research & Consulting Columbia Management Distributors, Inc. Cogent Research Leonard Schmitt Paul Roche Group Director, Insurance & Retirement Services Strategic Relationship Associate Relationship Management Putnam Investments DTCC (Depository Trust & Clearing Corpora- tion) Eddie Rollins Senior Managing Director of Sales & Marketing Brian Schmitt Horizon Investments District Manager VALIC (Variable Annuity Life Insurance Com- Noah Rosen pany) Investment Consultant Virtus Investment Partners, Inc. Howard Schneider President Practical Perspectives
MYIRIONLINE.ORG | 79 ATTENDEE LIST AS OF 9/5/2013
Michael Schott Ed Sierawski Publisher President SourceMedia Sequoia System International
Teri Schultz Staci Simmons Vice President, Marketing Manager of Marketing Communications Protective Life Insurance Company Quest Continuing Education Solutions (Quest CE) Deb Seabury Vice President, Sr. Strategic Account Manager Carter Sims SunAmerica Retirement Markets Head of Intermediary Distribution Schroder Investment Management Tom Seitz EVP, Head of Relationship Mgmt Courtney Sipperley Delaware Life External Communications Specialist Jackson Wesley Severin Western Divisional Sales Manager Peter Slattery Symetra Financial Managing Director Allianz Global Investors Gregory Shade Associate, FIG Market Intelligence Lee Small BlackRock National Sales Manager Lincoln Financial Distributors Aaron Shapley Regional Vice President Mike Spangler BlackRock President and Chief Executive Officer Nationwide Financial Michelin Sharp Director, Financial Institutions Tom Spencer Janus Capital Group Director, Business Development SE2 Matt Sharpe EVP Annuity, Life & Group Division Joe Sprague Horace Mann Life Insurance Co. Senior Vice President - Relationship Strategies Nationwide Financial Matt Shaw Executive Vice President Laurie Stack Pacific Investment Management Company SVP, Insurance Compliance (PIMCO) LPL Financial
Brian Shea Peter Stahl Chairman President Pershing LLC Bedrock Business Results, LLC
*Jamie Shepherdson Guy Stanzione Managing Partner, Crossroads Capital Group Compliance Services Director Crossroads Capital Group LLC Merrill Corporation
* Hall of Fame AWARD Recipient
80 | VISION: IRI ANNUAL MEETING 2013 David Stawik Vice President Kristie Thompson JP Morgan Asset Management Principal Edward Jones Bob Steinke Sr. Vice President, Head of Annuities and Insur- Todd Thompson ance SVP, Annuity Distribution Janney Montgomery Scott, LLC Protective Life Insurance Company
Tom Streiff John Thompson, Jr. Executive Vice President/Retirement Products Partner Manager Hewitt EnnisKnupp Pacific Investment Management Company (PIMCO) Terran Titus Head of Product Management, Individual Cathy Sturdivant Markets AVP Annuity Product Development ING Financial Partners, Inc. MetLife Mike Treske Thomas Sullivan Executive Vice President Divisional Sales Manager AIG Financial Distributors Protective Life Insurance Company Michael Trihy Tiffany Summers Portfolio Specialist Executive Director Red Rocks Capital JP Morgan Asset Management Suzy Tuck Kimberly Supersano Vice President of Sales VP, Marketing PaperClip Inc. Prudential Financial Christine Tucker Les Sutherland Vice President, Marketing - Retirement Solutions Key Account Director Division WealthVest Marketing, Inc. Pacific Life Insurance Company
Tom Swock Dawn Tutje Director, National Accounts Executive Director Aplifi Morgan Stanley Investment Management Inc.
Kelly Tate Colleen Tycz Annuity Product Leader, Team Leader Vice President, Institutional Marketing Manager Edward Jones Legg Mason, Inc.
Graham Thomas Liza Tyler Regional Sales Manager Vice President InvestmentNews New York Life Insurance Company
James Thompson Tim Uecker VP/Director, Head of US Institutional and Insur- Vice President, Investment Specialist ance Services Marketing Jennison Associates AllianceBernstein
MYIRIONLINE.ORG | 81 ATTENDEE LIST AS OF 9/5/2013
Jane Upton Corey Walther VP, ForeSight Product Management Chief Operating Officer, Allianz Financial Insurance Technologies Services, LLC Allianz Life Insurance Company Chris van Mierlo CMO, SVP Sales, Retirement Solutions Division Bill Ward Pacific Life Insurance Company Relationship Manager MassMutual Financial Group George Veazey SVP/National Sales Manager *Tom West SunAmerica Retirement Markets Chairman & CEO WestMark Ventures, Inc. Jordan Vettoretti Vice President, National Account Manager Walter White Allianz Global Investors President and Chief Executive Officer Allianz Life Insurance Company Cindy Vogl Executive Director, Retirement and Advisory John White Solutions Vice President of Sales, Retirement Solutions UBS Global Asset Management (Americas) Inc. Division Pacific Life Insurance Company Jeanette Volpi Head of External Communications George Wilbanks Guardian Insurance & Annuity Co. Managing Partner Marc Vosen Wilbanks Partners LLC Chief Executive Officer Mark Williams Key Investment Services, LLC President GamePlan Financial Marketing Richard Walker Director of Marketing Strategy Andy Wilmot Prudential Financial Managing Director Allianz Global Investors Edmund Walker AVP, Business Systems Consultant Russell Wilson Wells Fargo & Company Senior Product Manager Capital Group Companies Karin Walkovitz Business Development Manager Eric Wilson Sammons Financial Group Executive Director JP Morgan Asset Management Ed Wall SVP/National Sales Manager Karen Wimbish SunAmerica Retirement Markets Director - Retail Retirement Wells Fargo & Company Oran Walsh Vice President Sheila Woelfel Legg Mason, Inc. Senior Vice President Strategic Relations Advisor Group
Nate Yohannes Vice President - Associate Counsel Money Management Institute * Hall of Fame AWARD Recipient
82 | VISION: IRI ANNUAL MEETING 2013 Scott Zahorik Mike Lenn Divisional Vice President, Global Consulting Vice President, Federal Affairs Services Janus Capital Group Elizabeth Maddox Director of Meetings & Conferences Judy Zaiken AVP, Business Development, Annuity Products Christopher McDaniel MassMutual Financial Group Senior Vice President, Operations & Technology
Daniel Zelazny Nicole Moir Director, Sub-Advisory & Retirement Executive Assistant AQR Capital Management Thyra Nast Legislative and Regulatory Specialist IRI STAFF Andrew Simonelli Cathy Weatherford Director, Communications & Marketing President and CEO
Jason Berkowitz Vice President, Regulatory Affairs & ComplIance
Bret Biggers Director, Research & Outreach
Andy Browne Member Services Manager
Lyndsey Caulkins Communications & Marketing Specialist
Lee Covington Senior Vice President & General Counsel
Janet Darko Accounts Receivable & Accounts Payable Specialist
Tony Gorham Director, Administration & Operations
Alex Gray Communications and Emerging Media Specialist
Danielle Holland Senior Vice President, Communications, Marketing & Research
Barbara Hume Vice President, Membership
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IRI WOULD LIKE TO THANK ALL OUR SPONSORS FOR THEIR PARTICIPATION IN VISION: IRI ANNUAL MEETING 2013:
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