Improving the Management, Structure and Efficiency of 401(k) Plans

Date: Thursday, September 24, 2009
Time: 01:00 PM ET / 12:00 PM CT / 11:00 AM MT / 10:00 AM PT [Prevailing Time]
Presenter(s): Nick Stonnington, President and Founder of The Stonnington Group and Aaron Werner, Investment Advisor
Objective(s):
In this session you will learn key considerations for plan decision-makers that will help start them on the path to plan improvement.
Field of Study: Finance
Program Level: Basic
CPE Credit: 1 Credit Hour
Delivery Method: Group Internet-based

No advanced preparation or prerequisites are required for this course.
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Course Description

Investment performance is too often considered the only way to measure the success of a 401(k) plan. Many key decision-makers (i.e. owners, trustees, committees, human resources officers, etc.) are often willing to ignore or forego proper plan structure and administration as long as the investment choices in the plan beat the market.

This mindset, while nice in theory, can create problems in the administration of the plan and lead to both participant and plan sponsor frustration. Developing focused questions is the first step toward minimizing such frustration and improving plan structure and efficiency.

Please join us as we focus on this first step and learn about the questions decision-makers should be asking of their plans, to whom those questions should be directed, and how the answers they are given can drastically change the way a plan functions and performs.

Presenter and Moderator Bios
Nicholas H. Stonnington is president and founder of the Stonnington Group, LLC, an independent Los Angeles-based advisory firm providing wealth management and retirement services to individuals, families and corporations. He also serves as chairman of the board of QBI, LLC, one of the largest retirement plan administration firms for small companies in California.

Nick was named one of the "Top 250 Wealth Advisors" by Worth magazine. He is a sought after expert on matters related to financial planning and retirement, and has served as a frequent guest commentator on KFWB News 98 (Los Angeles).

Nick’s expert commentary has been featured in such publications as the Los Angeles Times, Investment News, Investment Advisor, and NuWire Investor and he has been published in industry journals, including the Family Wealth Report.

Additionally, he has presented at industry conferences on topics related to philanthropy and socially responsible investing. Nick received his A.B. from Dartmouth College in Hanover, New Hampshire.

Nick can be reached at nick@stonnington.net or (213) 683-4511.

Aaron Werner is an investment advisor at Stonnington Group, LLC and provides portfolio strategy and investment advice to individual investors and families, as well as retirement plan consulting for corporations. In addition, Aaron performs ongoing due diligence on all client investment options and asset allocations in order to ensure suitability. Previously, Aaron worked for Raymond James Financial in St. Petersburg, FL as a regional vice president in the asset management group.

Aaron obtained his M.B.A. from the Warrington School of Business at the University of Florida and received the AAMS® designation from the College of Financial Planning, as well as a Series 7, Series 63 and Series 65.

Aaron earned his B.A. in political science from Columbia University and a B.A. in Talmud from The Jewish Theological Seminary of America. He also holds California life, health, and disability insurance licenses. Aaron is currently enrolled at UCLA Extension where he is working towards his Certified Financial Planner (CFP) designation.

Aaron can be reached at aaron@stonnington.net or (213) 683-4514.

Cost
$25.00 for CPAFMA Members / $40.00 for Non-Members / Free for PAFMs

Delivery System

• All programs are delivered using the Zoom platform.
• Confirmations will include log-in instructions.
• Participants are able to participate using any device with an Internet connect (if the device does not have speakers, the participant can also dial-in) or they can participate with audio only by dialing in.
• All registrants will receive a link to the MAPCast’s recording by email within 48 business hours of event’s conclusion.
• There will be assistance available to help with technical and connectivity issues up to 10 minutes prior to the start of the presentation.

Registration

All registration is done on-line with the names and email addresses of each individual guest. Log-in details will be emailed to all registrants approximately 1-2 days prior to each session.

Refund Policy

CPAFMA will not issue refunds for MAPCasts. If a registrant is unable to participate in the MAPCast and sends written notice to info@cpafma.org 48 hours prior to the session, a credit will be provided for a future MAPCast. Alert the CPAFMA staff member monitoring the MAPCast if technical difficulties are encountered and technical support will be provided to eliminate problems with future MAPCasts.

Additional Information

Live participation is required for CPE credit and polling questions must be answered to show active participation. All registrants will receive an email following the session with links to the slides and/or handouts, and a link to the MAPCast recording (unless otherwise stated). If you are unable to participate in the live session, you can still watch the recorded session, but you will not be eligible for CPE credits.

For more information regarding CPAFMA MAPCasts or administrative policies such as complaint and refund, contact the CPAFMA Headquarters at 937-222-0030, or info@cpafma.org.