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2015 Media Kit


2015 Media Kit | NAPA NET | 2

MISSION

The National Association of Plan Advisors (NAPA) is a nonprofit organization dedicated to providing a voice in Washington and beyond for the leading retirement plan advisors in America.

The source for advisors, NAPA is committed to providing timely and highly relevant content to the greater advisor community through thought leadership, legal and regulatory information, data, news, and information. The hub for this information is now the NAPA Net web portal, the NAPA Net Daily email newsletter, and NAPA Net the Magazine.

The Voice for Advisors



MISSION

Who’s behind NAPA NET? Uniquely created by—and for — the serious retirement plan advisor.

The fastest growing professional association in history...with ties to a legacy association founded nearly half a century ago!

Who is NAPA?

8,000 members strong and growing75% are retirement plan advisors150 firm partners, including all major broker-dealers, DCIOs and record-keepersMore than 40 million participants are covered by the DC plans with which NAPA members workMore than $4 trillion in DC retirement plan assets under management with members and firm partners

What is NAPA-Net?

A multi-platform approach that connects advisors with the tools and information, they need—and the insights to help them succeed.

How it Works

Trend, regulatory update, business change, survey data

Link to relevant related content/stations

Expanded coverage in magazine

Follow-up vianews update

Ties to prior coverage

CURATION

CONNECT THE DOTS

CONTEXT

IMPLICATIONS & PERSPECTIVES

TRENDS TRACKING



readership info

plan aum

$10–$50 million

$50–$100 million

+ $100 million

other

56%

20%11%

13%35%

29%

15%

21%

plans under management

other

10–25

26-100

+100

Advocacy Debates over a uniform fiduciary standard and the definition of investment advice under ERISA prove that policymakers in Washington have little understanding of what plan advisors do. Add in major issues like tax reform, the federal budget deficit, the economy’s uncertainty and debates about the future of 401(k) plans and it’s critical that advisors have a strong voice in Washington. That’s where NAPA comes in. We’ve developed powerful grass roots and grass tops campaigns that enable advisors to be heard clearly on Capitol Hill. Plus, NAPA has ASPPA’s political clout and expertise behind it every step of the way.

Events• NAPA 401(k) Summit, March 22–24, 2015, San Diego, CA• NAPA Fly-in Forum, October 6–7, 2015, Washington, D.C.

EducationNAPA provides professional education to plan advisors via the QPFC designation program and has launched the “401(k) Practice Builder” to help broker dealers train and certify advisors interested or dabbling in the DC market.

NAPA Net Daily The #1 daily e-newsletter in the advisor space, sent to almost 30,000 of the retirement industry’s elite professionals each week, the Daily contains the latest analysis and commentary from the NAPA Net portal, the latest insider news about the industry, and breaking news about the latest developments affecting the plan advisor community.

NAPA Partner Corner

Profiles of NAPA’s provider partners containing profiles, value added resources, white papers, territory maps, and news about significant new products and services.

MagazineNAPA Net the Magazine includes in-depth articles and columns focused on the practicing plan advisor published by their own association as well an industry resource directory. It features a mix of articles and regular columns by noted experts and advisors to help practitioners keep informed.

The Trusted Source For AdvisorsNAPA has become the trusted source for advisors, demonstrated through the consistent growth of its membership in the last year and a half.

HOW NAPA HELPS ADVISORS

readership info

plan aum

$10–$50 million

$50–$100 million

+ $100 million

other

56%

20%11%

13%35%

29%

15%

21%

plans under management

other

10–25

26-100

+100



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Media Kit | NAPA NET | 6

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ISSUE RESERVE MATERIALS MAIL

Spring 2015 January 23 February 13 March 16

Outcomes Issue April 22 May 11 June 15

Summer 2015 May 22 June 11 July 15

Fall 2015 July 22 August 10 September 16

Winter 2015 September 11 September 30 November 4

NAPA: Black Book October 20 November 10 December 16

One Time Rate:Firm Partner: $10,500Non-Firm Partner: $14,000

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POWeRHITTeRS

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FALL 2013 • NAPA-NET.ORG

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What’sNext?...and Who’s DrivingNAPA’s Top 10 DC Innovators

Erik Vander Kolk, Publisher [email protected] or 203.550.0385

Contact Information

For advertisement delivery instructions contact Renato Macedo: [email protected] or 703.516.9300 x165



SPRING — DISTRIBUTION AT NAPA 401(K) SUMMIT

Cover Game On! Gamification — More Than a Feeling

Features Misbehavioral Finance: Motivating plan sponsors to do the “right” things

“Wingmen” — The Top Industry Wholesalers

SUMMER — DISTRIBUTION AT NAPA FLY-IN

Cover Fiduciary Focus — What it Means to Advisors

Features View from the Summit (coverage from the NAPA 401(k) Summit)

Solving the entry-level advisor crisis

FALL

Cover“Glass” Acts: Top female retirement advisors who have broken through the glass ceiling, and are making a difference.

Features Rollover Roulette: How rollovers can make — or break — your business

Managing managed accounts

WINTER

Cover Technology Trends That Will Rock Your World

Features Holistic “Medicine”: Moving beyond financial wellness

Power Players: Top 10 Retirement Plan Innovations: The individuals who are moving — and shaking — the retirement plan industry.

Outcomes Issue SPECIAL ISSUE #1

Retirement Income Outcomes: The path to — and through — retirement.

NAPA Black Book SPECIAL ISSUE #2

An Advisor’s Insider’s Guide to the Industry’s Top Broker-Dealers, Record Keepers, DCIO Firms, and Aggragators.

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What’sNext?...and Who’s DrivingNAPA’s Top 10 DC Innovators



TECHNICAL COMPETENCE SALES & MARKETING PRACTICE

MANAGEMENT PLAN OPTIMIZATION

401k Education Cross Selling Business Growth Strategies Balanced Funds

403b Plans Marketing Business Systems Behavioral Finance

Defined Benefit Plans Prospecting Client Services Benchmarking Performance

Defined Contribution Plans Requests for Proposals Industry Trends & Research DC Plan Design

ERISA Sales Management Practice Management Capital Preservation

Fiduciary Governance Social Media Strategies Professional Development Global Investing

IRA Rollover Strategic Partnerships Service Providers Index & Passive Strategies

Multiple Employer Plans Investment Management

Non-Qualified Plans Mutual Investments

Regulations & Compliance Non-Mutual Fund Vehicles

Retirement Income

Target Date Funds

NAPA NET PORTAL STATIONS... Provide a topic-specific indexing of the news for ready reference.

Technical CompetenceAn in-depth look at the “nuts and bolts” of the retirement market, focusing on ERISA and DOL regulations promulgated under its authority. All plan types are covered, including 401(k), 403(b) 457 and non-qualified plans, as well as IRA rollovers.

Sales & MarketingA focus on how advisors find new business, including prospecting, marketing, branding, cross-selling, strategic partnerships, and social media. Experts in these areas illustrate best practices in these topics with real life examples and provide helpful commentary and resources.

Practice ManagementUnique perspectives on ways that advisors can profitably and successfully run their businesses. Everything from practical topics like business systems, advisor fees and client services, as well as professional development and growth strategies to overall industry trends that can shape future approaches, to ethics and compliance. This is also where information on various service provider-partners and vendors whose skillsets can be leveraged to build, grow, and manage advisor practices.

Plan OptimizationInsights on the varied types of investments and plan design structures that advisors use to optimize or improve outcomes for plan sponsors in general, and plan participants specifically. With a growing focus on plan outcomes, this is where advisors will find insights and resources within these topics to help them achieve better results for their clients—and their own practice.



NAPA NET DAILY

Circulation: 30,000

E-MAIL NEWSLETTER ADVERTISING RATES CARD**

A Top Leaderboard (728 x 90)* $825

B & C Island (300 x 250)* $825

FILE SIZES AND ANIMATION SPECS

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MATERIAL DEADLINE

n Creative must be received three business days prior to the campaign drop.

n Creative emailed directly to: [email protected]

n Linking URL for ad to be supplied. n URL must be in the format “http://” not “www.”

* Must supply text along with each ad. Up to 3 lines of text with 65 characters per line.

** Starting January 1, 2015.

A

B

C

YOUR AD HERE

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HERE

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newsletter opens/wk.30,000

21,000unique visitors/month

• The NAPA Net Daily has quickly become the most-read daily newsletter for serious plan advisors for market, practice management and regulatory information

• Nearly 21,000 unique visitors/month• 30,000 newsletter opens per week• NAPA Net Daily has deeply affected the market

and has been embraced by busy plan advisors and industry professionals



* The Advertising Terms and Conditions (“Terms”), together with the applicable Insertion Order (“Order”), are

an agreement (“Agreement”) between the advertiser/agency identified on the Order (“Advertiser”) and NAPA

(“Publisher”). These terms and conditions apply only to those advertising in ASPPA, NSTA, NAPA, and/or ACOPA.

A. Payment: Invoices are sent upon receipt of advertiser’s order. Payment is required before advertiser’s ad

is published and due upon receipt of the invoice. Advertisers can pay by either credit card or check. By

submitting your credit card information, you agree that your credit card will be automatically charged on

the date that ad materials are due for each contracted ad. Advertisers more than 60 days in arrears on any

Publisher invoice must pay all outstanding invoices or, at Publisher’s discretion, submit payment with copy

before any current or future insertions will be accepted or run. Subsequent ads will be published once the

account is brought current. Invoices rendered will be accepted as correct unless Publisher is notified in

writing within 10 day of billing date.

B. Limitation of Liability: Advertiser agrees to not hold Publisher responsible for any liability, loss, cost,

claim, damage, or cause of action of any kind that it may suffer as a result of the transactions contracted

herein, including but not limited to loss resulting from service delays and incomplete or interrupted service,

regardless of cause or fault. If any proven or admitted errors or omissions have occurred, Publisher will

publish a one-time paid advertisement of the same specification in a future issue at no charge for the space.

C. Indemnification: Advertiser hereby agrees to indemnify and hold harmless Publisher, as well as its

subsidiaries, affiliates, directors, officers, agents, and employees, from and against all claims, liabilities,

and expenses, including reasonable attorney’s fees, which may result from Advertiser’s acts, omissions, or

breach of this Agreement.

D. Warranty: Advertiser warrants and represents that the ad materials provided by Advertiser do not violate any

proprietary rights of others (including, without limitation, any copyrights or patents) and that such materials

depict the Advertiser’s own original creation, or that the Advertiser has permission from the rightful owner to

depict such products.

E. Cancellation: All cancellations must be received in writing prior to the space reservations deadline. All

premium positions and sponsorships are non-cancelable; and Advertiser is fully responsible for all media

purchased pursuant to this Agreement.

F. Advertising Materials: Advertiser is responsible for providing all information and digital artwork to meet

the ad’s specifications and requirements. Publisher reserves the right to determine the suitability of all ads

submitted for publication, and reject advertising that does not meet the editorial criteria and/or specifications

and requirements, and require suitable replacement materials by publication deadline.

2015 TERMS AND CONDITIONS PRINT AND DIGITAL ADVERTISING*

Erik Vander KolkPublisher 203.550.0385email: [email protected]

4245 N. Fairfax DriveSuite 750Arlington, VA 22203 800.308.6714

www.napa-net.org

contact

PARTNER CORNER

The NAPA Partner Corner connects plan advisors with leading record keepers and DC Investment Only (DCIO) �rms, highlighting their services, resources and positioning in the market, as well as business metrics and contact information for their sales and support people. Currently, only NAPA Firm Partners at a certain membership level have the opportunity to publish a basic (one-third page) or enhanced (full page) listing in the Partner Corner. The sameinformation that is provided in the pages that follow is also available in enhanced online form on NAPA Net, at http://www.napa-net.org/.

C

M

Y

CM

MY

CY

CMY

K

Partner Corner New 5.30.14.pdf 1 5/30/14 11:04 AM


2015 Media Kit | NAPA NET Partner Corner | 1

MISSION


MISSION

A UNIQUE OPPORTUNITY FOR NAPA FIRM PARTNERS ONLYOn Oct. 1, 2012, the National Association of Plan Advisors launched the NAPA Net Portal, an online service dedicated to the needs of the nation’s leading retirement advisors. In addition to having breaking news and information, NAPA recruited the leading names in the industry to contribute content, articles and thought leadership to make it the most comprehensive online resource in the industry. Since its launch in October 2012, NAPA Net and the Daily have achieved the following:

• Over 20,000 unique visitors per month and growing.

• Over 30,000 subscribers to the NAPA Net Daily email newsletter.

• Average visit on the site of more than 5 minutes.

NAPA Firm Partners now have the opportunity to leverage the audience through a 12-month, comprehensive public relations and marketing campaign targeting plan advisors through the NAPA Partner Corner. The Corner includes:

• The ability to publish press releases, white papers and thought leadership in the new Partner Corner section of the NAPA Net Daily, sent to nearly 30,000 advisors.

• A comprehensive 500 word listing where your company can post key information, as well as the features and benefits of your services so that when advisors do a search, they will find your offerings.

• Partners that choose the enhanced listing in NAPA’s Partner Corner will be able to provide a 2–3 minute video from the head of the retirement business outlining to the plan advisor community that NAPA serves their products, services, and strategies. This video will permanently reside in the online directory dedicated to the Partner and may be updated twice annually.

• Both enhanced and basic listings in the NAPA Partner Corner may include a fact sheet, territory map and key contacts from the Partner which will reside on dedicated pages in the online directory only.

• Territory map of your salespeople with contact information.

• Complete listing and description of Partner’s value add resources with either links to your website or the actual resource available. In addition, there will be an index of resources by subject area with links back to the applicable Partner Corner.

• A listing in the new NAPA Net the Magazine sent to the top 10,000 retirement advisors.

Annual Investment for NAPA Firm Partners Only: $12,000

NAPAPARTNERCORNER



BROKER DEALER

AXA EquitableBank of America Merrill LynchCapital Analysts of the Midwest,

Inc. (CAMI)Commonwealth Financial

NetworkFinancial TelesisING Financial PartnersJohn Hancock Financial NetworkLPL FinancialMML Investors ServicesMorgan StanleyNFP Securities, Inc.Princor Financial ServicesRaymond JamesSignator InvestorsTransamerica Financial AdvisorsUBS Financial ServicesWells Fargo Advisors

DCIO

AllianceBernsteinAllianz Global Investors

DistributorsAmerican Century InvestmentsAmerican FundsBlackRockBNY Melon Asset ManagementCapital InnovationsCohen & Steers Capital

ManagementEaton VanceFederated InvestorsFidelity InvestmentsFranklin TempletonF-Squared InvestmentsGoldman Sachs Asset

ManagementING U.S. Investment

ManagementInvescoJensen Investment ManagementJohn Hancock InvestmentsJP MorganLegg MasonMFS Investment Management

CompanyNuveen Investments

OppenheimerFundsParnassus InvestmentsPIMCOPioneer InvestmentsPutnam InvestmentsRidgeWorth InvestmentsT. Rowe PriceThornburg Investment

ManagementTransamerica FundsWisdomTree Asset Management

RECORD KEEPER

ADP Retirement ServicesAlliance Benefit Group – NationalAmerican FundsAspire Financial ServicesBenefit Plans Administrative

Services (BPAS)BlueStar Retirement ServicesCharles Schwab & Co.CPI Qualified Plan ConsultantsDailyAccessFidelity InvestmentsGreat-West FinancialGuardian RetirementING Retirement ServicesInspiraFSJohn Hancock Retirement Plan

ServicesJP MorganJuly Business ServicesLincoln Financial GroupMassMutual Retirement ServicesMillimanMutual of Omaha Retirement

ServicesNationwide FinancialNorth American KTRADE AllianceOneAmericaPentegraPrincipal Financial GroupPutnam InvestmentsT. Rowe PriceTransamerica Retirement

SolutionsThe StandardVantage Benefits Administrators

RIA

401(k) Advisors — ArizonaAlliance Benefit Group – North

Central StatesArgentus PartnersBlue Prairie GroupCapital Analysts of the Midwest,

Inc. (CAMI)CAPTRUST Financial AdvisorsCooney Financial AdvisorsDeane Retirement Strategies, Inc.Dice Financial Services GroupDirect Retirement SolutionsEHD Advisory Services, Inc.Envestnet Retirement SolutionsFiducia Group, LLCFiduciary Consulting Group at PSAFiduciary Consulting Group, LLCGordon Asset Management, LLCGraystone Consulting, a business

of Morgan StanleyGreenspring Wealth ManagementHighTower Advisors —ArizonaHutchinson Financial Inc.Institutional Investment

ConsultingInterServ, LLCKarp Capital Management(k)ornerstone 401k ServicesLAMCO Advisory ServicesLatus GroupLeafHouse Financial AdvisorsLongview Financial Partners, LLCMayflower Advisors, LLCMCF AdvisorsMillenniuM Investment &

Retirement AdvisorsNicklas Financial CompaniesPrecept Advisory GroupPresidium Retirement AdvisersPrincipled AdvisorsRetirement Fund ManagementRetirement Resources Investment

Corp.RPS Retirement Plan Advisors,

Inc.SageView Advisory GroupShea & McMurdie FinancialStonegate Wealth Management

Strategic Wealth ManagementThe Maresh Yoshida 401k GroupTsukazaki & Associates, LLCVigilant Financial Partners

OTHER

401(k) RekonAmerican National Bank of Texas

TrustBenefitsLink.Com, Inc. /

EmployeeBenefitsJobs.comBoston Research GroupBoulevard RBroadridge/Matrix Financial

SolutionsCenter for Fiduciary Management

/FiRMColonial SuretyDrinker, Biddle & Reath, LLPFerenczy & Paul, LLPFi360Fiduciary BenchmarksGalliard Capital ManagementGross Strategic MarketingGROUPIRAiJoin Solutions, LLCIntegrated Retirement InitiativesNAPLIAPenChecks, Inc.Pension Resource Institute, LLCPershingRetirement Learning CenterRetirement RevolutionShoeFitts MarketingThe 401(k) Coach ProgramThe Retirement Advisor

University(TRAU)The Retirement Readiness

InstituteThe Wagner Law GroupUpTick Data TechnologiesvWise, Inc.Wealth Management Systems,

Inc.

NAPA FIRM PARTNERSas of DECEMBER 2014



MULTI-MEDIA PRICING

MULTI-MEDIA PARTNER NON-PARTNER

Webcasts $15,000 N/A

Video $7,500 N/A

Webcasts. Monthly co-sponsored webcasts hosted by NAPA executives and leading providers and advisors covering timely, cutting edge topics.

Podcasts. Advisors spend unproductive time in cars or commuting to work—NAPA Net is producing 10–15 minute podcasts which providers can use to deliver substantive messages about their firm, the market or new products and services. Many advisors would like to get periodic updates from portfolio managers from investment companies about their particular fund, the market segment covered by the fund or the economy in general. Use NAPA’s podcasts to connect these managers with your key distribution manager in an effective and efficient manner. Each podcast will be highlighted in NAPA Net’s Daily newsletter and stored in the NAPA Net Partner Corner.

Video. Interviews with leading providers, advisors and broker dealers discussing important topics and updates about them and their firms (5–10 minutes).

Napa-net.org. The leading industry website where nearly 21,000 unique visitors come every month to stay current, interact with colleagues and find valuable industry resources.

STANDARD ONLINE ADS

SPONSORED VIDEO

YOUR AD HERE

YOUR AD

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ONLINE PRINT MAGAZINE

n 750-word written profile n Business metrics n Territory map/key contacts n Banner ad & logo n Video (2-3 minutes) n Value add services n White papers n News releases

n 250-word written profile n Business metrics n Territory map/key contacts

NAPAPARTNERCORNER

ENHANCED BASICNAPAPARTNERCORNER

n a p a n e t t h e m a g a z i n e42

Firm Profile Legg Mason has a rich history in the DC market and is making strong moves to become more prominent in the DCIO arena. Though Legg Mason has never owned a record keeper as other well-heeled DCIOs have, they did own a brokerage firm and created private-label services with other record keepers for their advisors looking to access their funds. In 2005, Legg “traded” their advisors for Smith Barney’s funds to focus on managing money. (Those advisors are now part of Morgan Stanley.)

While Bill Miller is Legg’s most renowned port-folio manager, the firm is comprised of eight different independent money managers which have access to shared services like the DCIO group headed by in-dustry veteran and thought leader Gary Kleinschmidt. The network of independent investment managers includes:

Batterymarch Financial ManagementAn equity specialist focused on bottom-up stock

selection, integrated risk control and cost-efficient trading. An early entrant into overseas investing, too.

Brandywine Global Investment ManagementPursuing value since 1986 across equity and

fixed income, globally and in the United States. Historically institutionally focused, the firm has both a boutique’s agility and a leader’s stability and resources.

ClearBridge InvestmentsEquity manager with more than 45 years of

experience and long-tenured portfolio managers who build income, high active share or managed volatility portfolios.

Legg Mason Global Asset AllocationOffers global expertise in strategic and tactical

asset allocation and custom risk management. Solu-tions-focused, the firm combines asset allocation with Legg Mason’s independent manager expertise.

Legg Mason Global Equities GroupA collection of specialty firms dedicated to

global equities. Each pursues its own strategy while benefiting from Legg Mason’s global scale. LMGEG includes: Esemplia Emerging Markets, Legg Mason Poland and Legg Mason Australian Equities.

The Permal GroupA global pioneer in multi-manager, multi-strate-

gy alternative investing. The firm has made invest-ments in new and established hedge fund managers across strategies, asset classes and regions since 1973.

Royce & AssociatesKnown for its disciplined, value-oriented

approach to managing small caps. An asset class pio-neer, the firm’s founder is one of the longest tenured active mutual fund managers.

Western Asset ManagementOne of the world’s leading global fixed-income

managers. Founded in 1971, the firm is known for team management, proprietary research and a long-term fundamental value approach.

The firm focuses on 1,200 plan advisors who specialize in the DC market, providing a con-cierge-like service which gives the advisors access to Legg’s fund managers, their ERISA help desk powered by Ascensus, white papers (many of which are by ERISA expert Marcia Wagner) and other val-ue-added services focused on the use of social media and building a pipeline of prospects.

While Legg Mason “checks all the boxes” need-ed to make it one of the 14 Tier 1 DCIO providers, what distinguishes Legg (and very few others) is their senior management and thought leadership. Gary Kleinschmidt started in the DC business in the 1980s, moving to Ascensus (then BISYS) in the 1990s and then to Van Kampen, which was a pioneer in the DCIO market, in the 2000s. He moved to Legg in 2007 to gain access to a firm that was comprised of eight different managers and because of their focus on DC plans after the 2005 advisor trade with Smith Barney. Gary serves on the NAPA Leadership Council, the group’s governing board.

Thought leadership is important for Legg Mason, which is why they created the Legg Mason Retirement Advisory Council comprised of leading professionals from various record keepers, advisory firms and broker dealers. Following a recent expansion, the Council now includes Brian Graff, Executive Director/CEO of ASPPA and NAPA. The Council supports research and thought leadership on a variety of topics, including auto-IRAs, creating undergraduate programs to attract more people into the retirement industry, and a First & 10 white paper encouraging Americans to first contribute to their retirement plan and then to contribute 10%.

The DCIO market is getting more competitive and the stakes will get much higher, with fewer than 50 providers focused on the advisor-sold market and fewer than 15 who are considered in the top tier based on sales, the number of wholesalers and value-added services, as well as the quality and depth of their investments. In the future, two factors will distinguish firms within the top tier: quality of senior management and thought leadership to help clients (advisors, record keepers and broker dealers) to distinguish themselves and improve participant outcomes. Legg Mason’s DCIO group enjoys great support from the firm and will continue to be a leader in this market.

This description was written by Fred Barstein on behalf of the National Association of Plan Advisors (NAPA). It was not written by Legg Mason.

NAPA is not associated with Legg Mason.

9/13 FN1312984

Business Metricswww.leggmason.com

Number of external wholesalers:

DC: 8

Retail: 60

DC AUM:

Total: $20 Billion

Non-IRA Retirement AUM:

$92 Billion

Total AUM:

$654 Billion as of May 31, 2013

Investments:

Mutual Fund

Group Annuity

Collective Trusts

SMAs

Asset Allocation Funds:

TDF (To/Through/Both): Both

Passive/Active/Both:

Active

Capital Preservation Funds:

Money Market

Fixed Income:

Yes

Bonds:

Yes

Top 5 Funds by DC Assets:

Royce Pennsylvania Mutual Fund: $507 Million Gross Sales, $2.3 Billion AUM

Royce Total Return Fund: $381 Million Gross Sales, $1.5 Billion AUM

Western Asset Core Bond Fund: $487 Million Gross Sales, $1.2 Billion AUM

ClearBridge Appreciation Fund: $275 Million Gross Sales, $484 Million AUM

Western Asset Core Plus Bond Fund: $444 Million Gross Sales, $1.9 Billion AUM

Key Contacts:Sales: Gary Kleinschmidt, Head of Legg Mason Retirement 215.872.1317

Service: Ursula Henry, Vice President, Account Service Manager

NAPAPARTNERCORNER

n a p a n e t t h e m a g a z i n e48

Business Metricswww.oneamerica.com


32

DC AUM:

Total: $18.1 Billion

Retirement AUM:

$23.1 Billion

Total AUM:

$23 Billion

DC Plans UM:

9,700

Retirement Plans UM:

10,000

DC Participants UM:

514,000

Retirement Participants UM:

620,000


TDF Proprietary/Outside: Outside (Alliance Bernstein, Allianz Global, American Century, Fidelity, Russell, T.Rowe Price, and Wilmington Trust)

TDRisk Proprietary/Outside: Outside (American Century, DFA, Manning & Napier, Russell)

Custom Glide Path: custom models and glide paths are Financial Advisor driven

Service Model(s):

Bundled and Unbundled

Distribution Model(s): advisor/direct/both):

Advisor

Primary Market(s) Served:

Micro (<$1 Million)

Small ($1-$10 Million)

Mid ($10-$100 Million)

Large ($100-$250 Million): Limited

Mega (+$250 Million): Limited

Plan Type(s):

DC

DB

Non-Erisa 403(b)

457

Taft Hartley

Non Qualified

IRA

Fiduciary Services Offered:

3(21)

3(38)

OneAmericaKey Contacts:Sales: National Sales Desk: 1.866.313.7355Service: National Sales Desk: 1.866.313.7355

Business Metricswww.Oppenheimerfunds.com


DC: 12

Retail: 89

DC AUM:

Total: $31.8 Billion

New 2012: $29.3 Billion

Non-Retirement AUM:

$50.5 Billion

Total AUM:

$215.3 Billion

Investments:

Mutual Fund

Collective Trusts

SMAs


Target Risk

Passive/Active/Both:

Active

Capital Preservation Funds:

Money Market

Fixed Income:

Yes

Bonds:

Yes

Top 5 Funds by DC Assets (with asset total & last year new flow):

Developing Markets Fund:$9.4 Billion, $3.2 Billion

International Bond Fund: $2.0 Billion, $508.6 Million

Global Fund: $4.5 Billion, $774.8M

Main Street: $1.3 Billion, $274.1 Million

International Growth Fund: $2.9 Billion, $915.8 Million

OppenheimerFundsKey Contacts:Sales: James Howard, 212.323.5016 [email protected]

n 750-word written profile n Business metrics n Key contacts

n Business metrics n Key contacts

ENHANCED BASIC

DAILY NEWSLETTER

STAY IN THE SPOTLIGHT!For enhanced partners only. The ability to post relevant news on your firm’s product and service announcements, up to twice per month, with a link back to your Partner Corner page.



MISSION

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NAPAPartnerCorner_BackCover.pdf 1 12/11/14 10:47 AM



EDITORIAL LINE-UP

NAPA Net the Magazine Inaugural Issue (October 2013)

COVER ARTICLE TITLE AUTHOR

DC Top Power Hitters Fred Barstein

FEATURES TITLE AUTHOR

Whose Revenue is it Anyway? Fred Barstein

Selling the Financial Value of Retirement Benefits

Bruce Shutan

Transitioning Broker Dealers Elayne Demby

COLUMNS TITLE AUTHOR

Inside the Beltway Brian Graff

Inside the Plan Steward's Mind Don Trone

Inside the Marketplace Fred Barstein

Inside the Law David Levine

Inside Investments Jerry Bramlett

Inside the Plan Sponsor's Mind Steff Chalk

Inside the Participant's Mind Warren Cormier

Inside the Numbers Nevin Adams

DEPARTMENT TITLE AUTHOR

From the Editor Fred Barstein

President's Message Marcy Supovitz

Partner Corner Directory

NAPAnetthe magazine

THE OFFICIAL MAGAZINE OF THE

NATIONAL ASSOCIATION OF PLAN ADVISORS

Powered by ASPPA

NAPA’s List of Top 25 Washington

Officials Shaping Retirement Policy

POWeRHITTeRSDC


n a p a n e t t h e m a g a z i n e

2

Editor-in-ChiEf

Fred Barstein

PublishEr

Erik Vander Kolk

[email protected]

Editor

John Ortman

[email protected]

assoCiatE Editor

Troy Cornett

[email protected]

art dirECtor

Tony Julien

advErtising Coordinator

Jenn McKibben

jr. graPhiC dEsignEr

Michelle Brown

naPa offiCErs

PrEsidEnt

Marcy Supovitz, CPC, QPA, QKA,

AIK, ChFC, CLU

PrEsidEnt-ElECt

Steven Dimitriou, AAMS, PRP

ExECutivE dirECtor/CEo

Brian H. Graff, Esq., APM

NAPA Net — The Magazine is published quarterly by the

National Association of Plan Advisors, 4245 North Fairfax

Dr., Suite 750, Arlington, VA 22203. For subscription

information, advertising and customer service, please

contact NAPA at the above address or call 800-308-

6714, or [email protected]. Copyright 2013,

National Association of Plan Advisors. All rights reserved.

This magazine may not be reproduced in whole or in part

without written permission of the publisher. Opinions

expressed in bylined articles are those of the authors and

do not necessarily reflect the official policy of NAPA.

Postmaster: Please send change-of-address notices for

NAPA Net — The Magazine to NAPA, 4245 North Fairfax

Dr., Suite 750, Arlington, VA 22203.

Cover Illustration by: Tyler Charlton

Stock Images: ThinkStock

20 TRANSITIONING BROKER

DEALERS

by Elayne R. Demby

44 WHOSE REVENUE IS

IT ANyWAy?

by Fred Barstein

48 SELLING TO THE C-SUITE

by Bruce Shutan

04 LETTER FROM THE EDITOR

by Fred Barstein

06 INSIDE NAPA

by Marcy Supovitz

08 INSIDE THE BELTWAy

by Brian Graff

10 INSIDE THE LAW

by David N. Levine

12 INSIDE THE PLAN

SPONSOR’S MIND

by Steff C. Chalk

16 INSIDE INVESTMENTS

by Jerry Bramlett

18 INSIDE THE STEWARDSHIP

MOVEMENT

by Donald B. Trone

33 NAPA PARTNER CORNER

52 INSIDE THE PLAN

PARTICIPANT’S MIND

by Warren Cormier,

Allegra Heyligers and

Laraine McKinnon

56 INSIDE THE NUMBERS

by Nevin E. Adams

58 INSIDE THE MARKETPLACE

by Fred Barstein

dc power

hitters

by Fred Barstein

NApAnetthe magazine

26

?44

20

48

Meet the five people in

Washington who will have the

biggest impact on the future of

the retirement industry.

FEAT

URES

COLU

MNS

COVE

R

fall 2013

n NAPA “Net”—editor-in-chief column n Trends “Setting”—round up of recent surveys and research n Fast Facts—graphic-oriented n Best Practices—tips, tools, and tradecraft insights to build a better business n Law Review—roundup of recent litigation of interest to plan advisors n Regulatory Radar—pending and final regulations analyzed from a plan advisor perspective n Industry “Insides”—NAPA Net’s unique set of industry insider contributors offer insights and perspectives on issues ranging from the Beltway to the courtroom, from the plan sponsor and participant, to providers and investments

In addition to the cover/features listed above, each issue will include:



EDITORIAL CONTRIBUTORS

Founder and Executive Director The Retirement Advisor University (TRAU), Founder and Executive Director, The Plan Sponsor University (TPSU) and Editor-in-Chief of NAPA Net

Nevin AdamsDirector of Education and External Relations, EBRI, & Co-Director of EBRI’s Center for Research on Retirement Income

Don Trone Founder, Fiduciary360, LP

Steve Dimitriou PrincipalBoulay Donnelly & Supovitz Consulting Group, Inc.

Brian GraffExecutive Director/CEO, ASPPA & NAPA

Warren CormierPresident and CEO, Boston Research Group

Jerry BramlettStrategic Consultant, NextStep Defined Contribution, Inc., President & Founder of the 401(k) Company

Steff ChalkCo-founder & CEO, Fiduciary Consulting & Governance Group, Inc., Founder of CHALK Advisory Board, Inc., and COO of The Retirement Advisor University (TRAU)

David LevinePrincipal, Groom Law Group

John OrtmanManaging Editor, NAPA Net & NAPA Net the Magazine

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