Due Diligence

Met with:

Dori Hetrick

We discussed fixed income markets, large cap stocks within the NASDAQ and dynamic covered call strategies to generate income while maintaining potential for capital appreciation.

Attendees: Greg Tobey and Dan Romero
Location: El Matatan
Time: 1:15pm
Estimated Cost: $60

Met with:

Mary Kate Radloff

Discussed their 401k platform. They have an unbundled TPA model and a bundled for Larger plans.  Discussed marketing materials and employee wellness tools.  We also discussed specific managers that we utilize in our 401(k) plans.

Attendees: Greg Tobey, Dan Romero & Jason Martinez
Location: Sushi @ Sushi
Time: 1:15pm
Estimated Cost: $90

Met with:

Drew Mayo

Discussed Global and overseas markets.

Attendees: Greg Tobey
Location: Reunion Kitchen & Drink
Time: 1:15pm
Estimated Cost: $30

Met with:

Alisa Guetzkow

We discussed the economy, utilities and international exposure.

Attendees: Dan Romero & Greg Tobey
Location: Kind’s Fish House
Time: 1:15pm
Estimated Cost: $60

Met with:

Jon Beuerlein

Discussed California Municipal market and equity income opportunities

Attendees: Daniel Romero Greg Tobey
Location: L.A.C.C.
Time: 12:00PM
Estimated Cost: $300

Met with:

Brian Rotter

We discussed the fixed income market, the economy and touched based on some of their products.

Attendees: Dan Romero & Greg Tobey
Location: Sushi @ Sushi
Time: 1:15pm
Estimated Cost: $60

Met with:

Marissa Force

Discussed Buffered stock market based investments, focused on S&P 500 and dual directional.   Also reviewed living benefits thru index products.

Attendees: Greg Tobey and Dan Romero
Location: King’s Fish House
Time: 1:15pm
Estimated Cost: $60

Met with:

Dennis J. Meade Jr. and Sean Scanlon

We discussed RILA concepts, the economy, and the political climate.  We walked thru various products currently offered including living benefits.

Attendees: Dan Romero & Greg Tobey
Location: Reunion Kitchen & Drink
Time: 1:15pm
Estimated Cost: $50

Met with:

Chris Jackson

We discussed the CBO market and US Equity Markets.

Attendees: Greg Tobey & Daniel Romero
Location: Strawberry Farms GC
Time: 1:15pm
Estimated Cost: $200

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