The 20 Rising Stars of Retirement Plan Advisory 2008

Editor’s Note www.emii.com • www.definedcontribution.com EDITORIAL ERIK KOLB Editor of Business Publishing HILLARY JACKSON Senior Researcher and Associate Editor GREGORY MORRIS Contributing Reporter VINCENT YESENOSKY Senior Operations Manager (212) 224-3057 DAVID SILVA Senior Fulfillment Manager (212) 224-3573 Welcome to the second annual issue of 20 Rising Stars of Retirement Plan Advisory, showcasing up-and-coming professionals nominated by their peers and selected by the business publishing staff as future leaders and trendsetters of the defined contribution plan industry. In selecting finalists for our second edition, we tried to be representative of the defined contribution market’s diversity. As you will see, this year’s 20 Rising Stars of Retirement Plan Advisory work with a variety of different types of qualified plans and service an array of plan sponsors, from small businesses and non-profits to large corporations and retirement systems. Furthermore, they are dispersed in cities across the United States and specialize in an array of disciplines, including relationship management, business development, consulting, sales and marketing (see coverage beginning on page 22). As with all the titles in our Rising Stars series, 20 Rising Stars of Retirement Plan Advisory also includes features on the industry and compensation. Our industry overview addresses how providers and sponsors of 401(k) plans are looking to re-tool investor education for participants’ benefit, as well as their own, after earlier attempts did not produce the desired results (see story, page 6). In compensation, we reveal that 20 Rising legislation and regulation are reshaping Stars Retirment the playing field for retirement plan adviPlan Advisory sors, promising to shake up compensation structures even as they open new opportunities and bring new skills to the fore (see story, page 10). Rodney Balbuena Jessica Ballin Trent Bryson T. Grey Kennedy Sean King C. Todd Lacey Geoff Mettler Rick Reed REPRINTS DEWEY PALMIERI Reprints & Premission Manager (212) 224-3675, dpalmieri@iinvestor.net PRODUCTION AYDAN SAVASER Art Director BRIAN GOLDMAN Advertising Production Manager (212) 224-3216 CORPORATE GARY MUELLER Chairman & CEO CHRISTOPHER BROWN President STEVEN KURTZ Director of Finance & Operations ROBERT TONCHUK Director/Central Operations & Fulfillment ADVERTISING/BUSINESS PUBLISHING JONATHAN WRIGHT Publisher (212) 224-3566 jwright@iinews.com MAGGIE DIAZ Associate Publisher (212) 224-3893 LESLIE NG Advertising Coordinator FROM THE PUBLISHER’S OF: SEPTEMBER 2008 emii.com Customer Service: PO Box 5016, Brentwood, TN 37024-5016. Tel: 1-800-715-9195. Fax: 1-615-377-0525 UK: 44 20 7779 8704 Hong Kong: 852 2842 6910 E-mail: customerservice@iinews.com Editorial Offices: 225 Park Avenue South, New York, NY 10003. Tel: 1-212-224-3279 Email: eblackwell@iinews.com. PUBLISHING BRISTOL VOSS Publisher (212) 224-3628 LAURA PAGLIARO Marketing Manager (212) 224-3896 Troy Hammond Jeremy Chambers Jason Chepenik Sean Deviney Keith Dressel The president and CEO of Pensionmark talks about the evolution of the retirement plan industry • Page 27 Andrew Prevost Joel Shapiro Aaron Hagwood Troy Hammond Eva Kalivas Jason Stanicek Jon Upham Doing Well By Doing Good Nathan Trotman Providers and sponsors of 401(k) plans are looking to re-tool investor education for participants’ benefit, as well as their own • Page 6 Another regular feature is our Mentors’ Page. Submitted by our finalists, these individuals are recognized for inspiring, challenging and cultivating the skills and character necessary to make our Rising Stars who they are today (see page 34). From the publishers of: A Publication of Institutional Investor, Inc. © Copyright 2008. Institutional Investor, Inc. All rights reserved. New York Publishing offices: 225 Park Avenue South, New York, NY 10003 • 212-224-3800 • www.iinews.com Copyright notice. No part of this publication may be copied, photocopied or duplicated in any form or by any means without Institutional Investor’s prior written consent. Copying of this publication is in violation of the Federal Copyright Law (17 USC 101 et seq.). Violators may be subject to criminal penalties as well as liability for substantial monetary damages, including statutory damages up to $100,000 per infringement, costs and attorney’s fees. The information contained herein is accurate to the best of the publisher’s knowledge; however, the publisher can accept no responsibility for the accuracy or completeness of such information or for loss or damage caused by any use thereof. 20 Rising Stars of Retirement Plan Advisory is the latest in a series of special supplements produced by Institutional Investor News exclusively for our newsletter subscribers. While it may be easy to point out those at the top of their field today, how many know who is going to rise to the top and become the leaders of tomorrow? IINews and our Rising Stars series seek to give our readers that edge. For more information, email risingstars@iinews.com. All the best, Erik Kolb Editor of Business Publishing Institutional Investor News 4 RETIREMENT PLAN ADVISORY RISING STARS SEPTEMBER 2008 http://www.emii.com http://www.emii.com http://www.definedcontribution.com http://www.emii.com http://www.iinews.com

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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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