Conversion / Implementation Team Leader Roundtable

2019 Annual Meeting

Data in Transition arrow2 Efficient Gains in Operation

May 15/16/17, 2019
Chicago, IL

Hosted by: Mesirow Financial

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*Registration requires an invitation code

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Forum for Conversion / Transition / Implementation team leaders of retirement plan firms to exchange ideas and practices, with the ultimate goal of enhancing the effectiveness of business processes and team management. This meeting will include peer discussions, breakout sessions, and research presentations. Questions discussed are those suggested by attendees in the registration process. There are no minutes of this meeting.


Attendance is by invitation only. The invitation is extended to New Business Conversion / Transition / Implementation team leads at retirement plan service providers (data analysis, and conversion consultants). Invitation is extended to firms operating in the following markets:

  • Defined contribution plan (401(k), 403(b), 457, 1165(e) and Group RRSPs)
  • Non-qualified deferred compensation arrangements
  • Defined benefit and hybrid plans
  • Corporate, government, Taft-Hartley and not-for-profit markets
  • Across distribution channels (consultant, adviser, brokerage, TPA, bank, direct, agent and others)
  • Large and Jumbo plans
  • Micro, small and mid-sized plans


Mesirow Financial
353 North Clark Street
Chicago, IL 60654




Wednesday May 15, 2019 (Pre-event)

3:30 p.m.    Depart Hotel Hotel Chicago Downtown, Autograph Collection®

3:45 p.m.    Pre-event Chicago Architectural Tour

6:00 p.m.    Pre-event Dinner at Public House 

Thursday May 16, 2019

8:00 a.m      Continental breakfast buffet

8:30 a.m.     Opening and Welcome

8:45 a.m.     Robotics and Artificial Intelligence in Data Scrubbing

Michael S. Goodman
Vice President, Data & Analytics, and Technology Advisory Practice Lead
NTT Data Services

Location: Auditorium

9:45 a.m.    Break

10:00 a.m.   Breakout Sessions - Moderated Advisor, Consultant, and TPA Panels - Perspectives on Plan Transitions

ACT 1. Third-Party Administrator Views
Moderator:  Rosa Mees - Empower-Retirement
Panelists:  Brady Onsager - TRA
                   Colleen Rodriguez - FuturePlan by Ascensus    
Location:      Carl Sandburg 

ACT 2. Plan Advisor Views 
Moderator:  Karen Rund - T. Rowe Price
Panelists: Advisors TB     
Location:    Mesirow A&B

ACT 3. Consultant Views
Moderator:  Mike Aufrecht - Wells Fargo IRT
Panelists:   National consultants to be announced
Location:    420 Richard J. Daley

11:00 a.m.    Transition

11:05 a.m.     Breakout Sessions - Strategic Issues and Hot Topics

Breakout 1 - Participant Communication Strategies in Conversion – What The Evidence Suggests
Participant communication is a critical component of a successful service provider transition in the retirement plans business. Approaches vary with the selected conversion strategy (re-enrollment, mapping, in-kind), plan design, plan sponsor objectives, advisor service model, and characteristics of the plan participant population. Regardless of strategy, compliance communications are part of the process. At this session, we will investigate the evidence for and against various approaches to determine how we can identify a winning approach beyond a reasonable doubt.

Presentation / Discussion
Presenter: MKay Leydon, EACH Enterprise
Location:  Carl Sandburg

Breakout 2 - Mergers and Acquisitions: Transitions Past Onboarding
The work of transition teams does not stop at the onboarding of new clients. External growth through mergers and acquisitions is a continuous process for some employers. For these employers, our ability to successfully transition plans in M&A situations is an all-important criterion in the selection of a retirement plan service provider. Learn from three champions how they successfully handle M&A situations.

Moderated Panel
Moderator: Roger Dodds, Securian
Panelists:   Matthew Marty – Charles Schwab Retirement Services
                    Steve Stillman – Empower-Retirement
                    Kathy Busa – VALIC
Location: Mesirow A&B

Breakout 3 - Non-Qualified Plan Transitions: Is Each Plan Unique? 
Transitioning 409A and legacy non-qualified deferred compensation arrangements brings about a host of unique complexities associated with Highly Compensated Employee limitations, funding mechanisms, and even executive compensation. Decision makers are personally affected by the quality of the transition of non-qual plans. Provider capabilities set the winners apart in the sales process. Discuss with your peers, strategies to overcome uncommon transition issues.

Moderated Peer Discussion Roundtable
Moderator: Scott Winschuh - Prudential Retirement
Panelists: Shawn Gunst – The Newport Group
                 Other panelists TBD
Location: 420 Richard J. Daley

12:05 p.m.  Lunch

1:05 p.m.   How We Elevate Data Integrity To The Next Level

At this session, we will present and discuss data quality control practices on (1) deconversion, (2) census, and (3) payroll test files in the plan conversion process.

  • What measures recordkeeping service providers take to detect

    1. Non-conforming data formats
    2. Missing values
    3. Outliers

  • How providers report back (to the plan sponsor / payroll provider / advisor)
  • How different providers define “acceptable” and “preferred” thresholds
  • What action companies take to enhance quality

Attendees will learn broadly-accepted standards, and best-in-class practices, and steps we can take as an industry to elevate data integrity to the next level.

Presenters: Eric Henon and Brian Neligan
Location: Auditorium

2:15 p.m.    Transition

2:20 p.m.    Breakout Sessions - Moderated Panels on Strategic Issues and Hot Topics

Breakout 4 - The Power Within: The value of developing, engaging and retaining your staff
Moderator: Jessica Norwood - TIAA
Panelists: Michelle Wells - Newport Group
                  Veronica Castaneda - TIAA
                Erika Wojtaszek - Empower-Retirement
Location: Carl Sandburg 

Breakout 5 - Aggregation (Multi-vendor, Multiple Plans, Managed Accounts, Financial Wellness) 
Moderator: Steve Nolan
Panelists TBA 
Location: Mesirow A&B

Breakout 6 - Implementation of Multiple Employer Plans in the Small and Mid-market 
Moderator: Terrance P. Power QPA®, ERPA, CFP®, CRPS®, CPFA®, ChFC®  - Platinum MEP Consultants, LLC
Panelists TBA 
Location: 420 Richard J. Daley

3:25 p.m.   Break

3:45 p.m.   Breakout Sessions - Moderated Roundtable Discussions

Breakout 7 - Economies of Scale in Transitions
Moderator: Dan Phipps, VALIC
Location: Carl Sandburg 

Breakout 8 - Outsourcing and Offshoring
Moderator: Steve Michener, Charles Schwab
Location: Mesirow A&B 

Breakout 9 - Investment Array Finalization
Moderator: Vince Vicidomini, Mesirow Financial
Location: 420 Richard J. Daley

5:00 p.m.   Adjourn for the day

6:00 p.m.   Dinner at River Roast

Friday May 17, 2019

8:00 a.m    Continental breakfast buffet

8:30 a.m.   Breakout Sessions - Moderated Roundtable Discussions

Breakout 10 - Data Integrity in Deconversion Files 
Moderator: Todd Peeples, T. Rowe Price
Location: Carl Sandburg 

Breakout 11 - Data Integrity in Ongoing Census, Payroll, and Contribution Files
Moderator: Mark Weiss, The Vanguard Group
Location: Mesirow A&B 

Breakout 12 - Commoditizing / Standardizing Service in the Small / Micro Plans Market
Moderator: Shawn Gunst - The Newport Group
Location: 420 Richard J. Daley

9:45 a.m.     Refreshment Break

10:00 a.m.   General Session - Cybersecurity in the 401(k) Plans Business

Presenter TBA
Location: Auditorium

11:00 a.m.   Transition

11:05 a.m.   General Session Discussion: Next Steps - Action Plan

At this session, we will discuss major take-aways from the meeting and action items for consideration by participating firms, and by the Roundtable as an organized group

Moderator: Eric Henon
Location: Auditorium 

12:05 p.m.    Lunch boxes

12:30 p.m.    Adjourn


3:30 p.m.    Depart Hotel Hotel Chicago Downtown, Autograph Collection®

3:45 p.m.    Pre-event Chicago Architectural Tour

6:00 p.m.    Pre-event Dinner at Public House 


Casual for the pre-event, Business Casual for meetings and event dinner


We have a block of rooms at the Hotel Chicago Downtown, Autograph Collection®. For reservations please call 1-877-829-2429 or 312-245-0333 – Mention you are part of the Conversion Implementation Team Leader Roundtable for the room block rate of $234.00 not including taxes/incidentals.

Book your group rate for Conversion Implementation Roundtable May 2019

Hotel Chicago Downtown, Autograph Collection®
333 N. Dearborn Street
Chicago IL 60654 
1-877-829-2429 or 312-245-0333


Registration requires an invitation code.  Payments by credit card, debit card, check or ACH

Register On-line

*Registration requires an invitation code

Request Invitation Code

Registration Deadlines and Cost Per Attendee    

Registration deadline: Roundtable
On or before January 15, 2019 $1490
Between January 15, 2019 and February 28, 2019 $1750
March 1, 2019 and after $1950

Additional cost of $195.00 for the pre-event.

Cancellation Policy

EACH Enterprise, LLC will refund your entire meeting fee if you cancel on or before February 28, 2019.  For cancellations between  March 1, 2019 and April 30, 2019, EACH Enterprise, LLC will refund your registration fee minus an administration fee of $175.  No refunds for cancellations after April 30, 2019.  In the unlikely event that the number of registered attendees falls short of expectations, EACH Enterprise, LLC will refund the entire registration fee.

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Phone: (860) 653-1701
Fax: (860) 838-2830
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EACH Enterprise, LLC
61 Rainbow Road
East Granby, CT 06026