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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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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.     Data Quality – From 101 to A

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

AI and machine learning is a major topic these days, but underlying that is the age old problem of data quality. This session will provide an intro to AI and a data quality refresher. We will explore the magnitude of data quality problems in an AI world and discuss options for addressing both the data and analytics problems that are preventing organizations from fully leveraging these new technologies.

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 Sandberg 

ACT 2. Plan Advisor Views 
Moderator:  Karen Rund - T. Rowe Price
Panelists: Stace Hilbrant - 401k Advisors, LLC
                 Craig Draper - Lakeside Wealth Management     
Location:    Mesirow A

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: Eric Henon - EACH Enterprise, LLC
Location:  Carl Sandberg

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 - AIG Retirement Services               
Location: Mesirow A

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 – Newport Group
                 Shelley Pryor – Newport Group
                 Kirsten Rozmiarek - Milliman
Location: Mesirow B

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: Eric Henon - EACH Enterprise, LLC
Panelist  Lee Tupper - Financial Soundings
Location: Mesirow A

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:  Trina Jordan - Transamerica
                  Tracy Long - Transamerica
                  Christopher Taylor - MassMutual
Location: Mesirow B

3:25 p.m.   Break

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

Breakout 7 - Economies of Scale in Transitions
Moderator: Dan Phipps - AIG Retirement Services
Location: Carl Sandberg 

Breakout 8 - Outsourcing and Offshoring
Moderator: Matt Marty - Charles Schwab & Co, Inc.
Location: Mesirow A 

Breakout 9 - Investment Array Finalization
Moderator: Vince Vicidomini - Mesirow Financial
Location: Mesirow B

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: Eric Henon - EACH Enterprise, LLC
Location: Carl Sandberg 

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

Breakout 12 - Commoditizing / Standardizing Service in the Small / Micro Plans Market
Moderator: Shawn Gunst - The Newport Group
Location: Mesirow B

9:45 a.m.     Refreshment Break

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

Presenter: Warren Jennings
                    Vice President, Product Management
                    FIS Wealth and Retirement

Phishing, social engineering, brute force attacks – bad actors are turning their attention to retirement plan accounts, and your participant websites and call centers are not immune. Learn how scammers are trying to access your customers' account and what you can do to protect participants and your firm.
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

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Phone: (860) 254-5046
Fax: (860) 838-2830
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EACH Enterprise, LLC
16A Pasco Drive
East Windsor CT 06088