The 20 Rising Stars of Retirement Plan Advisory 2008

assets of more than $1 billion and shouldering more macro responsibilities by driving internal company policy in the Employee Retirement Income Security Act (ERISA) area. Both roles play to his interests and expertise. Shapiro has been with 401(k) Advisors since joining in 2006 from Hewitt Associates, where he served as a legal plan consultant from 2001 to 2006. Before Hewitt, he worked as an attorney for Fennemore Craig, P from 1996 to 2001. .C. Shapiro initially was drawn to retirement plan law because he enjoys the intricacies, details and nuances of the Internal Revenue Code, ERISA and related regulations. “These laws and regulations act as a puzzle,” he said. “If you put the pieces together correctly and creatively, you can achieve terrific ends for not only your clients but their employees.” Shapiro moved from practicing law to the consulting side of the business in order to be involved with the process from the beginning stages. “I wanted to help clients avoid problems at the beginning and throughout the maintenance of their plan rather than put out fires at the end of plan emergencies,” he said. “In short, I wanted to help make the potential quagmire of the qualified plan rules simpler and more client friendly than what I had witnessed through the first 12 years of my career practicing law.” In addition, the growth potential in the advisory field is tremendous.“Advisors will play a driving role in the evolution of the industry,” Shapiro said. “As the advisor evolves into a multi-disciplined consultant, recordkeepers and outsourcing administrators will be forced into more efficiencies and additional accountability. That, in turn, will empower clients to demand better tools, opportunities and outcomes for their employees.” Looking forward, Shapiro predicted that his role within the industry will remain similar to what it is today, although he expects to take on more of a leadership role as 401(k) Advisors’ ERISA practice grows. “I see my role allowing me to bring new solutions to clients and impact the industry in a manner that assists individuals in meeting their retirement goals,” he said. 32 RETIREMENT PLAN ADVISORY RISING STARS 18 . JASON STANICEK 19 . NATHAN TROTMAN Stanicek started his career as a consultant with Renaissance Worldwide in 1996 before moving to Lincoln Financial Group as a vice president of new business development in 2001. He has been in his current role at CAPTRUST Financial Advisors since 2006 and is responsible for ensuring his clients are adopting sound fiduciary practices and processes with respect to their retirement plan programs. More specifically, he focuses on plan design and overall program structure, the legislative arena, investments, fees, communication and education and the documentation of plan decisions on behalf of 15 clients with an average plan size of $100 million. A Chartered Retirement Plan Specialist and an Accredited Investment Fiduciary, Stanicek said his success so far – and going forward – comes down to organization and hard work. “I have dedicated myself to the industry, clients and colleagues – all have been keys to my success,” he added. Consolidation among recordkeepers, as well as advisors,is on the horizon,Stanicek predicted, although he expects to continue to be involved in the 401(k) industry in 10 years’ time.“I enjoy nothing more than meeting with committees and understanding their concerns and providing SEPTEMBER 2008 18. JASON STANICEK Financial Advisor CAPTRUST Financial Advisors, Raleigh, N.C. Age: 35 Education: University of North Carolina at Chapel Hill (B.A. in Communication Studies) Mentors: John Arant, Vice President, Lincoln Financial Group; Mark Medlin, Vice President, CAPTRUST Financial Advisors; Fielding Miller, Chief Executive Officer, CAPTRUST Financial Advisors Stanicek’s interest in companies and individuals and his desire to get to know them, coupled with his fascination with the world of finance and investments, led him to the field of retirement plan advisory. “I was introduced to the 401(k) industry nine years ago and have loved every minute of it,” he said. “It is always changing, and there’s a great opportunity to add value to plan sponsors and participants.”

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The 20 Rising Stars of Retirement Plan Advisory 2008 Contents Doing Well By Doing Good The Post-PPA Bounce Automatic Enrollment vs. Managed Account Unfair Advantage? You Bet The New World Order 20 Rising Stars of Retirement Plan Advisory Mentors’ Page

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