ThinkstockPhotos 476696778Client Relationship Management Roundtable

November 2016 Semi Annual Meeting

Steering the Retirement Plans Business Post 2016 U.S. DOL Fiduciary Rule

November 14/15, 2016
Covington, KY

Hosted by: Fidelity Investments

Register* On-line

*Registration requires an invitation code

You want to be in this business. Helping American Workers achieve successful retirement is a worthy cause and the task is never ending. Among all benefits lines, retirement plans are unique in that they reward employee loyalty and career longevity. You steer the ship. Managing relationships with plan fiduciaries to keep them on task is a critical success factor for any recordkeeping service provider and for the industry at large.

Regulators with an agenda impede our ability to achieve stated objectives. The Department of Labor fiduciary rule is going to leave plans orphaned and entire books of business closed. Client Relationship Manager service will make the better providers stand out and help develop business acquired organically and thru mergers and acquisitions.

You must stay abreast of the latest developments and have meaningful discussions with your peers to stay relevant. Some argue there is too much capacity in the industry; we contend there is room for a broad diversity of service models designed to meet unique needs of plan sponsors in niche markets.

You need to attend the semi-annual meeting of the Client Relationship Management Roundtable. This will be the 18th meeting of the Roundtable and attendance is still growing. All major retirement plan recordkeepers regularly attend, absences are noticed. There is abundant opportunity to add value through differentiation.

Meeting Objective

Forum for Chief Client Relationship Management Officers of retirement plan firms to discuss emerging industry trends, major challenges and opportunities, current and upcoming governmental regulations and other topics of interest to attendees. Informal discussions are organized around topics suggested in the registration process. There are no minutes of this meeting.


Attendance is by invitation only.  The invitation is extended to heads of client relationship management of retirement plan service providers operating in the following markets:

  • Corporate, government, Taft-Hartley and not-for-profit markets
  • Large and jumbo plans
  • Micro, small and mid-sized plans
  • Across distribution channels (consultant, adviser, brokerage, TPA, bank, direct, agent and others)

Date and Time

November 14, 2016

6:00 p.m.—Boarding the BB Riverboat

7:00 p.m.—Sailing - Pre-event Dinner

November 15, 2016

8:30 a.m. to 3:30 p.m. – Sessions

Breakfast starting at 8:00 a.m.



Fidelity Investments
Auditorium A
100 Magellan Way
Covington, KY  41015

Dress Code

Business Casual

Hot Topics

Steering the Retirement Plans Business Post U.S. Department of Labor Fiduciary Rule

  • Educating plan sponsors about the new regulation
  • Navigating the $50 million definition
  • Developing orphaned clients
  • Manage closed books
  • Staying clear of class action litigation
  • Expanding client adoption of in-plan income distribution solutions
  • Expanding client adoption of advice solutions

Business Environment and Strategic Issues

  • Political environment, regulatory direction, and judicial developments
  • Pace and business benefit of automation / innovation
  • Communications and CRM Technology
  • Recprdkeeping system upgrades (Payroll 360, financial wellness integration, benefits exchanges)
  • Evolution of the competitive environment
  • Changing advice and distribution landscape
  • Changing buying, due diligence, and renewal pattern

Third Party Alliance, Internal, or Both?

  • Investment management and asset allocation model management
  • Participant investment advice / managed accounts
  • Participant education / counseling
  • Expanded financial wellness services
  • Defined Benefit plan services
  • Payroll services
  • Benefits enrollment / benefits exchanges
  • Plan administration services
  • Distribution, and even
  • Recordkeeping system development and maintenance

Organization and Team Management

  • Organization effectiveness
  • Driving efficiency
  • Relationship to other profit centers and support teams
  • Organization - alignment across teams
  • Service Models and Distribution
  • Organization, Segmentation of service models, and assignment
  • Location - services best handled locally and services best handled remotely
  • Centralization - economies of scale and
  • Talent management, staffing, and development

Other topics suggested by attendeesL


Monday, November 14, 2016
6:00 p.m.    Boarding
7:00 p.m. to 9:30 p.m. Sailing - Pre-event Dinner Cruise on the BB Riverboat

Tuesday November 15, 2016
8:00 a.m      Continental breakfast buffet
8:30 a.m.     Welcome and Introductions - Fidelity Investments
9:00 a.m.     Hot topics: strategic implications of the U.S. DOL Fiduciary rule 
10:00 a.m.   Break
10:30 a.m.   Moderated breakout sessions - Business Environment and Strategic Issues

    • Micro / Small (<30 million)
    • Mid-sized plans (30 million-<$300 million)
    • Large and Jumbo plans (≥$300 million)

12:00 p.m.   Cold Buffet Lunch
12:30 p.m.   Moderated breakout sessions - Third Party Alliance, Internal, or Both?

    • Micro / Small (<30 million)
    • Mid-sized plans (30 million -<$300 million)
    • Large and Jumbo plans ((≥$300 million)

2:00 p.m.     Break

2:15 p.m      Roundtable discussions: Organization and team management
3:30 p.m.     Meeting adjourns

Pre-event Networking Dinner

BB Riverboat dinner and sightseeing tour.

6:00 p.m. Boarding
7:30 p.m. Sailing

"Early in Cincinnati’s history, most visitors arrived by riverboat, so it is fitting to recommend that modern-day visitors get out and see the Queen City from the Ohio River while enjoying dinner. BB Riverboats offers sightseeing cruises that allow you to relax and enjoy the scenery while the captain points out landmarks and shares some of the history of the city.” USA Today 10BEST

BB Riverboats
101 Riverboat Row
Newport, KY 41071


Hotel / Transportation

A block of rooms has been reserved at the Marriott Cincinnati Rivercenter in Covington, Kentucky. The cost is $170.00 per night not including taxes and incidentals (payment due at checkout time.)

For reservations please click HERE or call the hotel directly by October 19, 2016 and reference that you are part of the Client Relationship Management Roundtable room block (Reference #: M-5X4Y4FW) in order to get the special rate.

Marriott Cincinnati Rivercenter
10 W. Rivercenter Blvd.
Covington, KY 41011
(859) 261-2900 or (800) 228-9290



Transportation provided between hotel, BB Riverboat dinner and sightseeing tour pre-event, and meeting site.


Register on-line

Registration requires an invitation code.  Payments by credit card, debit card, check or bank transfer

Registration deadlines and Cost Per Attendee    

Registration deadline: Roundtable
On or before August 31, 2016 $950.00
After August 31, 2016 $1,175.00

Cancellation policy:

EACH Enterprise, LLC will refund your entire meeting fee if you cancel on or before August 31, 2016.  For cancellations between  September 1, 2016 and October 31, 2016, EACH Enterprise, LLC will refund your registration fee minus an administration fee of $175.  No refunds for cancellations after October 31, 2016.  In the unlikely event that the number of registered attendees falls short of expectations, EACH Enterprise, LLC will refund the entire registration fee. 



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