Due Diligence
Fidelity – Liz (Elizabeth) Brown, CPFA® AIF ®
Met with:
Liz (Elizabeth) Brown, CPFA® AIF ®
We discussed their 401k platforms. She focuses on $1m to $50m. Pricing has become much more reasonable at Fidelity. Clients have access to NetBenefits. Discussed access to ZoomInfo for marketing. Outlined Fidelity Cyber Security is second to none. Liz also described a Secure 2.0 hub that Fidelity maintains, highlighting its frequent updates and the desire among plan sponsors for plan simplicity. They also mentioned the recently released Plan Sponsor Attitude Survey, which revealed many sponsors want simplified processes rather than complex provisions.
Attendees: Dan Romero, Jason Martinez & Greg Tobey
Location: King’s Fish House
Time: 1:15pm
Estimated Cost: $80
CNL – Steph M. Laflamme (Regional VP)
Met with:
Steph M. Laflamme (Regional VP)
We discussed the private equity market and how it contrasts with public equity. The premise is PE can provide lower volatility with a low correlation to the broader economy.
Attendees: Dan Romero & Greg Tobey
Location: El Matatan
Time: 1:15pm
Estimated Cost: $60
T. ROWE PRICE – Ken Krell, DCIO
Met with:
Ken Krell, DCIO
We discussed their 401(k) platform. They offer an affordable start up platform that can be utilized for Start up plans. Also have access to a calculator where we can determine the tax credits on start up plans.
Attendees: Dan Romero, Jason Martinez & Greg Tobey
Location: El Matatan
Time: 1:15pm
Estimated Cost: $90
FIRST TRUST – Garrett Olson and Gibson Smith
Attendees:
Jeff Baker (First Trust)
Garrett Olson, Smith Capital. Gibson Smith is the founder, CIO
Seve Sakayan of WCM.
We reviewed a few of their products and they gave us an overview of the fixed income and international markets.
Attendees: Dan Romero & Greg Tobey
Location: Pelican Hill
Time: 10:00am (1 Hour)
Estimated Cost: $200
INVESCO – Christopher Collie, CAIA, CIMA®
Met with:
Christopher Collie, CAIA, CIMA®
We reviewed a few of their products and they gave us an overview of the fixed income and momentum trading.
Attendees: Dan Romero & Greg Tobey
Location: El Matatan
Time: 1:15pm
Estimated Cost: $80
EATON VANCE – Sam Reinhart, AAMS, CSRIC
Met with
Sam Reinhart, AAMS, CSRIC
We discussed Eaton Vance Equity market perspective, impact of Yields and why they matter, direct indexing and the Eaton Vance Exchange Fund program.
Attendees: Dan Romero & Greg Tobey
Location: Medii Kitchen
Time: 1:15pm
Estimated Cost: $50
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