The 20 Rising Stars of Retirement Plan Advisors 2007 - (Page 17) 1 ERIC W. BAILEY 2 1 Managing Principal CapTrust Financial Advisors, Tampa Age: 34 Education: University of South Florida, B.S., Accounting & Finance Mentor: Roger E. Robson, managing principal and partner, CapTrust Financial Advisors Bailey helped found the Tampa and South Florida offices of CapTrust Financial Advisors—an independent operation and member of the CapTrust Association—in August, 1998. Bailey is actively involved with 25 clients, representing over $500 million in plan assets Bailey also serves as the chief compliance officer of CapTrust Advisors, LLC—the registered investment advisory arm of CapTrust Financial. As managing partner of both entities he manages the growth of each organization and develops their strategic plans. Additionally, Bailey leads the retirement plan consulting group, which creates strategic asset allocations, develops investment policy and conducts manager search and selection, among other things. Bailey started his career as an intern at Paine Webber his junior year of college in 1992. He remained with Paine Webber until 1998. Bailey has penned the Panel Publishers’ Investment Corner column for the 401(k) Advisor, since 2002. He has spoken at industry events such as the 2007 Southern Employee Benefits Association Conference and the Tampa Pension Council in 2004, 2005. Bailey is a CFA. In 2005 he was certified as a PLANSPONSOR Retirement Plan Professional (PRP) by the PLANSPONSOR Institute. “Automation will help participants save and better allocate their assets to prepare for retirement because it will increase their contributions and allocate a better asset mix. Advisors prepared and able to position themselves as experts, embracing this change in how plans are designed and presented to employers, are going to be successful.” 2 TONY CIOCCA 1 Managing Director Institutional Investment Consulting, Waterbury, Conn. Age: 37 Education: Duquesne University, B.A., Political Science Mentors: Christian Thwaites, CEO, Sentinel Investments; Charles Ruffel, CEO, Asset International Ciocca joined IIC, a corporate retirement plan consulting firm, in 2003. He is responsible for sales, marketing, search consulting and ongoing investment and fiduciary support. He and his team advise on $1.5 billion dollars assets under management. Ciocca personally is the lead or co-advisor on $850 million worth of plan assets. Ciocca began his career in 1993 at American Skandia, a financial services company, in a sales/service position. While there, he became part of a team that developed a small-plan 401(k) program for advisors to sell. In 2000, he joined PLANSPONSOR magazine, and helped build the 401(k) Pathfinder Program(SM), which enables plan sponsors to research, analyze and select a new plan provider. He oversaw $1 billion worth of vendor searches. Ciocca has the Accredited Investment Fiduciary and PLANSPONSOR Retirement Plan Professional designations. He has been recognized in PLANSPONSOR magazine’s December 2006 issue, “Best of the Best” of retirement plan advisors. “Over the next few years most of the multiple vendor 403(b) ERISA plans will migrate to single vendors due to inefficiencies in these programs. This is leading to a great opportunity for advisors to help organizations save money, create efficiency and implement prudent investment monitoring processes.” SEPTEMBER 2007 RETIREMENT PLAN ADVISORS RISING STARS 17
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