The 20 Rising Stars of Retirement Plan Advisors 2007 - (Page 24) 1 VINCENT MORRIS 1 2 1 V.P., Retirement Plan Services Bukaty Companies Retirement Plan Services, Leawood, Kan. Age: 38 Education: University of Kansas, B.S., Economics Mentor: Mike Bukaty, president, Bukaty Companies Morris joined Bukaty Companies as an owner overseeing the retirement plan services division in July 2001. He has approximately $500 million of assets under management. Since joining this business has grown from a start-up business with few plan assets to a branch office and a nine person staff that handles in excess of 100 institutional clients. His management duties include business development, marketing and overseeing day-to-day operations of the retirement plan services division. He oversees board training and also the fiduciary services that help clients stay compliant, including development of investment policy statements, ongoing investment monitoring and demographics analysis. He has both the Accredited Investment fiduciary and PLANSPONSOR Retirement Professional designations. Prior to Bukaty, Morris worked as a broker at Olde Discount, a discount brokerage firm, in 1993. He joined Prudential Securities as a financial advisor from 1993-1995. In 1996-2001 he worked as a retirement plan consultant for FBD Consulting, a regional third-party administrator, preparing Internal Revenue Service and Department of Labor filings. “Employers will seek to automate more plan functions as the defined benefit market transitions to a defined contribution market. This creates opportunities for advisors to help people that normally wouldn’t be in the plan, walk plan sponsors through the drastic changes that are going on and offer investment advice to individual participants.” 1 2 JIM O’SHAUGHNESSY 1 Principal Sheridan Road Financial, Northbrook, Ill. Age: 38 Education: Purdue University, B.S., Industrial Management Mentors: Clark O’Shaughnessy, former Qualified Plan Specialist, Equitable Life/AXA Advisors; Fred Novy, paramount planning group advisor, AXA Advisors; Marv Rotter, former agency manager and regional manager, AXA Advisors O’Shaughnessy is responsible for the daily operations of the retirement plan consulting business and wealth management group. He maintains mutual fund, insurance, and third party administrator relationships related to both practices. He currently has $450 million in assets under management. O’Shaughnessy is a third-generation retirement plan adviser. He began as an intern for his father at Equitable Life/AXA Advisors in 1991 and took over that practice in 1996. In 2005, O’Shaughnessy and a partner founded Sheridan Road, which consists of three companies: Sheridan Road Financial, Sheridan Road Capital, and Sheridan Road Advisors. He has both the Accredited Investment Fiduciary and PLANSPONSOR Retirement Professional designations. This year, he has spoken at the American Society of Pension Professionals & Actuaries and the National Retirement Partners conferences. He is slated to speak at the Center for Due Diligence Conference in October, regarding challenges and opportunities for advisors. “There is an enormous need to improve employee participation rates, salary deferrals need to increase over current levels, and participants need to improve their asset allocations. Plan sponsors and their employees need education, support and guidance to maximize the products, tools and resources available to them.” 24 RETIREMENT PLAN ADVISORS RISING STARS SEPTEMBER 2007
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