Qualified Plans/401(k)


Bank/Credit Union, wirehouse, national, regional and independent broker-dealers

This roundtable discussion group is focused on strategies and solutions for financial services firms and their Financial Advisors providing Qualified Plans/401(k)s to their clients. Encompassing more than 170,000 plans with $1.3 trillion in assets, small and mid-sized 401(k) plans present a significant opportunity for firms and Advisors.

We are delighted to have Jason Roberts, Founder/Chief Executive Officer of Pension Resource Institute (PRI), as a featured guest to provide industry leading insights.

Consistent with the roundtable concept, all participants afforded equal opportunity to participate in the discussion, without regard to their organization or role. Our roundtable meetings are structured so that all participants have an opportunity to gain insights from the discussion by contributing their perspective and experiences, as well as being able to ask questions of their peers. And thanks to the support of our sponsors, there is no cost to participate.

Attendees include executives from wirehouse, national, regional, and independent broker dealers, RIAs, banks, and credit unions whose Financial Advisors are currently engaged in or contemplating supporting their clients with establishing or overhauling qualified plans. We also include other industry experts, including representatives from insurance companies, service providers, and other related firms.

If would like to inquire about sponsorship opportunities, please contact Brian Harrison or Steve Saltzman by calling 704-243-4512.

Topics Discussed

  • Program & Partner Management Considerations
  • Tactics to improve Financial Advisor participation
  • Peer-to-peer update on current state of the Qualified Plan business within each firm
  • Update and insights on the revised DOL Rule (due out in late 2019)
  • Regulatory & Risk Updates
  • Considerations for providing financial wellness programs to retirement plans/participants
  • Other topics chosen by our meeting participants


  • Day 1
    12:00 PM - 9:00 PM
    We start with a welcome lunch.
    General Session begins at 1:00 and will be followed by a reception and group dinner.
  • Day 2
    8:00 AM - 1:00 PM
    Breakfast and lunch will be served during General Session

Thanks to our Sponsors


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