Learning Center

Journal in the Round

Journal in the Round is FPA's monthly, online panel roundtable where writers and contributors who are featured in the current issue of the Journal of Financial Planning, and other experts, discuss, illuminate, and debate the ideas in their article and the issue. The discussion and live Q and A will be moderated by an experienced host who is an FPA member and volunteer.

 

  • Journal in the Round: Diversity and Inclusion

    Product not yet rated Contains 3 Component(s), Includes Credits Includes a Live Web Event on 12/02/2020 at 12:00 PM (MST)

    This month we are eager to discuss the diversity and inclusion theme of the November Journal of Financial Planning. Led by host Robert Castillo, ADPA, panelists Lisa A.K. Kirchenbauer, CFP®, RLP®, CeFT® and Enjoli Ramsey will delve into the financial planning profession’s progress on diversity, inclusion and representation. Topics will include the realities diverse employees face, tangible takeaways to implement in your firm, how we can do better to become a more inclusive community and what the future looks like.

    This month we are eager to discuss the diversity and inclusion theme of the November Journal of Financial Planning. Led by host Robert Castillo, ADPA, panelists Lisa A.K. Kirchenbauer, CFP®, RLP®, CeFT® and Enjoli Ramsey will delve into the financial planning profession’s progress on diversity, inclusion and representation. Topics will include the realities diverse employees face, tangible takeaways to implement in your firm, how we can do better to become a more inclusive community and what the future looks like.

    Robert Castillo, CFP®, ADPA

    Investment Advisor Rep, Ross Gerber and Danilo Kawasaki

    Robert Castillo, CFP®, ADPA℠, is a CERTIFIED FINANCIAL PLANNER™ and Investment Advisor Representative at Gerber Kawasaki Wealth and Investment Management where he has helped the LGBTQ and Latino communities since 2009. Before joining Gerber Kawasaki, Robert worked as an educator and fundraiser for non-profits devoted to LGBTQ equality and social justice. He is a founding member of Gerber Kawasaki as well as a member of their investment selection committee. In 2015, Robert started the firm’s first LGBTQ group which is devoted to providing financial planning services to same-sex couples and the community at large. Robert was a recipient of the FPA Annual Conference Diversity Scholarship in 2018 and is a volunteer with FPA’s Pride Planners LGBTQ group.

    Lisa A. Kirchenbauer, CFP®, RLP, CeFT

    President, Omega Wealth Management, LLC

    Lisa A.K. Kirchenbauer, CFP®, RLP®, CeFT® is Founder & President of Omega Wealth Management in Arlington, VA and a 2021-2023 member of the FPA National Board.  Lisa has 35 year of experience in the financial services industry, 30 years in the financial planning profession and has run her firm- a diverse team of professionals- for 21 years.  She is especially passionate about expanding the representation of women and people of color within the financial planning profession, and is a student of intentional business management and leadership.

    Emjoli Ramsey

    Chief of Outreach and Recruitment for the Air Force Office of Diversity & Inclusion

    Ms. Enjoli Ramsey is the Chief of Outreach and Recruitment for the Air Force Office of Diversity & Inclusion.  In this role, she is responsible for developing and implementing a comprehensive diversity outreach and recruitment strategy to support the Air Force Diversity and Inclusion mission.  Ms. Ramsey began her career as a Navy Officer.  She separated from active duty in 2011 and affiliated with the Navy Reserves where she currently supports the Office of Military Compensation. An aspiring career changer, Ms. Ramsey completed the College for Financial Planning CFP ® Certification Education Program in 2019 and passed the CFP ® exam in March 2020.

  • Journal in the Round: Tax Planning Strategies in 2020

    Product not yet rated Contains 4 Component(s), Includes Credits

    Now more than ever, it is critical that financial planners identify smart tax tactics and tax planning strategies for their clients. Join October 2020 Journal of Financial Planning contributors William Reichenstein, Ph.D., CFA and James Lange, CPA, J.D. as they explore different Roth contribution and Roth conversion strategies as we near year-end 2020. This online roundtable conversation will be led by moderator and FPA volunteer Raymond Benton, CFP®.

    Now more than ever, it is critical that financial planners identify smart tax tactics and tax planning strategies for their clients. Join October 2020 Journal of Financial Planning contributors William Reichenstein, Ph.D., CFA and James Lange, CPA, J.D. as they explore different Roth contribution and Roth conversion strategies as we near year-end 2020. This online roundtable conversation will be led by moderator and FPA volunteer Raymond Benton, CFP®.

    • For some of your clients, propose making contributions to Roth accounts and making Roth conversions
    • Identify ways to increase wealth for your clients and dramatically increase their legacy

    William Reichenstein, PhD, CFA

    Head of Research, Social Security Solutions, Inc. & Retiree, Inc.

    Dr. William Reichenstein, CFA, is the Head of Research at Social Security Solutions, Inc. and Retiree, Inc. He is Professor Emeritus at Baylor University. He has published more than 190 articles and several books including Social Security Strategies, 3rd Edition, with William Meyer. He is taking the lead in writing a book that coordinates two client decisions. First, when should individuals begin Social Security benefits? Second, how can clients tax-efficiently withdraw funds from their financial portfolio just using the tax code to make their portfolio last longer? He is a member of Wall Street Journal’s “The Experts” panel.

    James Lange, CPA, J.D.

    With 35+ years of retirement and estate planning experience, Jim Lange’s estate and tax planning strategies have been endorsed by The Wall Street Journal (36 times), Forbes magazine, and many other magazines and journals. He has authored five peer-reviewed articles in Trusts & Estates and is a regular contributor for Forbes.com.

    Jim and his team have drafted 2,799 wills and trusts, as well as sophisticated beneficiary designations for IRAs and other retirement plans, many utilizing Lange’s Cascading Beneficiary Plan.

    Jim is the author of eight best-selling books, including Beating the New Death Tax, three editions of Retire Secure!, endorsed by Charles Schwab, Larry King, Jane Bryant Quinn, Roger Ibbotson; The Roth Revolution, endorsed by Ed Slott, Natalie Choate, and Bob Keebler; The $214,000 Mistake, How to Double Your Social Security and Maximize Your IRAs endorsed by Larry Kotlikoff, Jonathan Clements and more.  

    Jim ‘s analysis of the tax and estate planning advantages of Roth IRA conversions has been peer-reviewed by The Tax Adviser journal of the American Institute of CPAs. 

    Raymond Benton, CFP®, CRPC, EA

    Benton & Company

    A. Raymond Benton is a CERTIFIED FINANCIAL PLANNER professional and member of FPA, serving clients at Benton & Company in Denver, Colo. and the surrounding communities.

  • Journal in the Round: Regulation—An Opportunity, Not a Burden

    Product not yet rated Contains 4 Component(s), Includes Credits

    Are you in compliance with the new CFP Board Code of Ethics and Standards of Conduct that has been enforced since June 30? To help members comply with the new standards, FPA released a compliance toolkit that includes a model fiduciary engagement agreement, financial action plan, and more. Join Paul Brahim, CFP®, 2020 member of the FPA Member Advocacy Council, and Rochelle Truzzi, managing director at Hardin Compliance Consulting, as they explain how the toolkit helps financial planners manage regulation in their businesses and how to leverage regulation practices to grow their business. This online, interactive roundtable conversation will be moderated by Raymond Benton, CFP®, Journal in the Round moderator and FPA member.

    Are you in compliance with the new CFP Board Code of Ethics and Standards of Conduct that has been enforced since June 30? To help members comply with the new standards, FPA released a compliance toolkit that includes a model fiduciary engagement agreement, financial action plan, and more. Join Paul Brahim, CFP®, 2020 member of the FPA Member Advocacy Council, and Rochelle Truzzi, managing director at Hardin Compliance Consulting, as they explain how the toolkit helps financial planners manage regulation in their businesses and how to leverage regulation practices to grow their business. This online, interactive roundtable conversation will be moderated by Raymond Benton, CFP®, Journal in the Round moderator and FPA member.

    • Integrate the Practice Standards in developing and communicating a financial plan for a client
    • Discuss the fiduciary standard and its importance to the planner-client relationship
    • Explain how the FPA compliance toolkit guides financial planners in complying with the new CFP Board Code of Ethics and Standards of Conduct
    • Describe how the FPA compliance toolkit helps financial planners manage regulation in their businesses 
    • Outline ways in which regulation practices can be implemented and how to leverage regulation practices to grow their businesses 

    Rochelle A. Truzzi

    Managing Director, Hardin Compliance Consulting LLC

    Truzzi has worked in the securities industry for more than twenty-five years and has extensive broker-dealer and investment adviser regulations and compliance experience. She has been responsible for the coordination of new membership applications for several broker-dealer firms as well as the management of the licensing and registrations of many firms and all associated persons. In addition, Truzzi has experience in the development of written supervisory procedures as well as anti-money laundering, business continuity, compliance, and continuing education programs tailored to firms’ specific needs. 

    Raymond Benton, CFP®, CRPC, EA

    Benton & Company

    A. Raymond Benton is a CERTIFIED FINANCIAL PLANNER professional and member of FPA, serving clients at Benton & Company in Denver, Colo. and the surrounding communities.

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  • Journal in the Round: Lessons in Shifting Clients' Panic to Confidence

    Product not yet rated Contains 4 Component(s), Includes Credits

    Join August’s Journal of Financial Planning (JFP) contributor Nick Follett, manager, fixed income at Commonwealth, and behavioral finance experts as they explore the behavioral interventions outlined in the JFP cover story and how to apply these interventions. They’ll also discuss the importance of understanding clients’ behaviors and biases in investment planning to optimize clients’ well-being and financial results. This online, interactive roundtable conversation will be moderated by Kieran Rooney, CFP®, Journal in the Round moderator and FPA member.

    Join August’s Journal of Financial Planning (JFP) contributor Nick Follett, manager, fixed income at Commonwealth, and behavioral finance experts as they explore the behavioral interventions outlined in the JFP cover story and how to apply these interventions. They’ll also discuss the importance of understanding clients’ behaviors and biases in investment planning to optimize clients’ well-being and financial results. This online, interactive roundtable conversation will be moderated by Kieran Rooney, CFP®, Journal in the Round moderator and FPA member.

    • Outline various behavioral finance interventions that financial planners can take to nudge clients toward better outcomes
    • Illustrate how clients’ life stages and responsibilities may shape their concerns related to the COVID-19 pandemic

    Nick Follett

    Manager, Fixed Income, Commonwealth Financial Network®, Member FINRA/SIPC

    With the firm since 2010, Nick Follett evaluates and selects strategies for Commonwealth’s recommended lists and shares analysis and research across all fixed income asset classes. He also assists affiliated advisers with portfolio construction, fixed income sector allocation and portfolio reviews. Follett graduated from San Francisco State University’s MBA program with an emphasis in finance, and he holds the FINRA Series 7 securities registration.

    Dr. Brad Klontz, Psy.D., CFP®

    Founder, Financial Psychology Institute® and Associate Professor of Practice in Financial Psychology at Creighton University Heider College of Business

    Bradley T. Klontz is a founder of the Financial Psychology Institute® and an associate professor of practice in financial psychology at Creighton University Heider College of Business. He is a managing principal of Your Mental Wealth Advisors, a fellow of the American Psychological Association, and a former president of the Hawaii Psychological Association. He has partnered with organizations including Capital One, JP Morgan Chase and H&R Block in efforts to help raise public awareness around issues related to financial health and financial psychology.

    Kieran Elizabeth Rooney, CFP®, EA

    Director of Standards & Certification, FPSB

    As Director of Standards & Certification at FPSB, Kieran Rooney, CFP®, is responsible for executing FPSB’s strategies for standards for the global profession and requirements for FPSB’s pathway and CFP certifications. Before FPSB, Rooney was a financial adviser with Boston-based Modera Wealth Management, delivering fee-only advice and tax, investment and insurance strategies to high-net-worth clients. A CFP professional and Enrolled Agent with the U.S. Internal Revenue Service, Rooney co-hosts the Financial Planning Association’s Cross-Border Knowledge Circle and moderates its Journal in the Round program. Previously, she worked for the United Nations, where she managed course creation, piloting, administration and standard-setting to ensure alignment of courses delivered in five languages to 14,000 end users in 100+ countries. 

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  • Journal in the Round: Becoming a Quarterback for Clients’ Longevity Planning Teams

    Product not yet rated Contains 4 Component(s), Includes Credits

    Financial planners need to play a key role in providing holistic guidance to baby boomers to meet these clients’ needs by shifting from being asset managers to lifestyle managers. Join the July 2020 Journal of Financial Planning contributor Robert Mauterstock, CFP®, CLU®, CHFC®, CLTC®, aging-plan expert Annalee Kruger, and Robert Powell, CFP®, as they explain how to develop a team of specialists to provide expertise on long-term care planning, legal issues, legacy planning and end-of-life planning for clients and their families. This online, interactive roundtable conversation will be moderated by Terry Bradford-Crane, CFP®, Journal in the Round moderator and FPA member.

    Financial planners need to play a key role in providing holistic guidance to baby boomers to meet these clients’ needs by shifting from being asset managers to lifestyle managers. Join the July 2020 Journal of Financial Planning contributor Robert Mauterstock, CFP®, CLU®, CHFC®, CLTC®, aging-plan expert Annalee Kruger, and Robert Powell, CFP®, as they explain how to develop a team of specialists to provide expertise on long-term care planning, legal issues, legacy planning and end-of-life planning for clients and their families. This online, interactive roundtable conversation will be moderated by Terry Bradford-Crane, CFP®, Journal in the Round moderator and FPA member.

    • Define the legal issues that clients must face as they age
    • Explain a client communication method for sharing the comprehensive information related to legacy planning with the next generation
    • Select appropriate communication techniques for use with individual clients

    Robert B. Mauterstock, Jr., CFP®, CLU®, CLTC®

    Partner and Co-Founder, Plan4LifeNow

    Robert B. Mauterstock Jr., CFP®, CLU®, ChFC®, CLTC®, is partner and co-founder of Plan4Life LLC, the creator of The Elder Planning Specialist program, an extensive curriculum for financial planning professionals. He is a former Navy pilot and has written four books related to boomers, their aging parents, and their adult children. He was a practicing financial planner for more than 30 years.

    Annalee Kruger

    Co-Founder, Plan4LifeNow

    Annalee Krugeris co-founder of Plan4LifeNow. She realized how little financial advisers understood about the financial and career toll of family caregivers, and common issues like dementia and the cost of care. She and her business partner, Bob Mauterstock, train and coach those in the financial industry on topics such as aging issues. Kruger has devoted her entire career to seniors and their families and began her career as an activities assistant in an assisted living community while she earned her degree in social work. 

    Robert Powell, III, M.S., CFP®

    Editor, Columnist, Contributor

    Robert Powell is the editor and publisher of Retirement Daily on TheStreet. He is also a retirement columnist for USA TODAY, as well as the editor of the Investments and Wealth Institute’s (IWI) Retirement Management Journal, the first-ever peer-reviewed journal focused solely on retirement income, and host of IWI’s Exceptional Advisor podcast. Powell is also a founder of FinStream.tv, a new streaming service focused on personal finance, a columnist for Callaway Climate Insights, and an instructor in the Salem State University Online Elder Planning Specialist program. Over the years, his work has been published in The Wall Street Journal, The Financial Times, MarketWatch, and AARP. Previously, Powell served as the editor of Retirement Weekly, published by MarketWatch-Dow Jones.

    Terry Bradford-Crane, MBA, CFP®

    Owner, BradfordCrane Company LLC

    Terry Bradford-Crane owns BradfordCrane Company LLC, an investment adviser in Washington. She is a graduate of the U.S. Naval Academy and a former naval flight officer. Bradford-Crane began her career as a financial adviser with Merrill Lynch in 1998. In 2004 she established BradfordCrane Company, a business platform that enabled her to educate individuals on investment topics, inspire investors to reach for financial independence, and provide pro bono financial planning advice to organizations and individuals as a service to her community. 

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  • Journal in the Round: Navigating Planners and Their Clients Towards Resiliency During the Coronacrash

    Product not yet rated Contains 4 Component(s), Includes Credits

    When clients act on unaddressed fear during a bear market, it can lead to poor decisions and damaging effects on their future. Join the June 2020 Journal of Financial Planning contributor Dan Moisand, CFP®, and Devin Velnoskey as they expand on Moisand’s article where he explains ways in which practicing financial planning can hinder its value, and how to address these challenges while helping build planners’ and their clients’ resiliency. They’ll also delve into the findings from FPA’s annual Trends in Investing Survey, discussing portfolio analysis in a time of crisis. This online, interactive roundtable conversation will be moderated by volunteer FPA moderator Ray Benton, CFP®.

    When clients act on unaddressed fear during a bear market, it can lead to poor decisions and damaging effects on their future. Join the June 2020 Journal of Financial Planning contributor Dan Moisand, CFP®, and Devin Velnoskey as they expand on Moisand’s article where he explains ways in which practicing financial planning can hinder its value, and how to address these challenges while helping build planners’ and their clients’ resiliency. They’ll also delve into the findings from FPA’s annual Trends in Investing Survey, discussing portfolio analysis in a time of crisis. This online, interactive roundtable conversation will be moderated by volunteer FPA moderator Ray Benton, CFP®.

    • Analyze a client’s degree of risk and loss aversion and insure recommendations are consistent with a client’s risk propensity, attitudes, capacity, knowledge, and needs
    • Develop how a planner can develop a relationship of honesty and trust in client interaction
    • Recommend an asset allocation strategy consistent with a client’s risk tolerance

    Dan Moisand, CFP®

    Principal, Moisand Fitzgerald Tomayo, LLC

    Dan Moisand, CFP(R) believes that to be a true profession, we must expand the body of knowledge and encourage practitioners to be more evidence-based. He is currently serving FPA as the Practitioner Editor of the Journal of Financial Planning. In addition, he is a past national President of FPA. In 2019, he was highlighted as one of the “twenty most influential men and women” in an issue of InvestmentNews that focused on the 50th anniversary of the start of the financial planning profession. A frequent presenter at conferences and events, Dan has spoken to planner groups on six continents.

    Devon Velnosky

    Senior Portfolio Strategist, Janus Henderson Investors

    Devin P. Velnoskey is a Senior Portfolio Strategist with Janus Henderson Investors. He is a member of the Portfolio Construction and Strategy Team focused on delivering actionable investment strategy and thought leadership to help clients in all aspects of the investment management process. Previously, Mr. Velnoskey was a senior member of the internal sales team within the intermediary distribution channel at Janus. Prior to joining Janus, he worked at Morgan Stanley, where he covered listed derivatives markets for the company’s asset management and hedge fund clients.

    Mr. Velnoskey received a bachelor of arts degree in economics from Fordham University and an MBA with concentrations in finance and accounting from Regis University. He holds FINRA Series 7 and 63 securities licenses and has 10 years of financial industry experience.

    Raymond Benton, CFP®, CRPC, EA

    Benton & Company

    A. Raymond Benton is a CERTIFIED FINANCIAL PLANNER professional and member of FPA, serving clients at Benton & Company in Denver, Colo. and the surrounding communities.

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  • How Do You Comply?

    Contains 7 Product(s)

    This course, exclusively for FPA members, includes video presentations and resources created by leading legal and financial industry compliance and regulations experts to explain, explore and unpack what the SEC rule package and the CFP Board's Code of Ethics and Standards of Conduct mean specifically for financial planners:

    • SEC Regulation Best Interest: What It Means for Financial Planners
    • Understanding SEC's Interpretation Regarding the Standard of Conduct for Investment Advisers 
    • An Overview of How to Use Form CRS 
    • An Introduction to the SEC's Investment Advice Rule Package 
    • Comparing SEC Reg BI and CFP Board Code of Ethics and Standards of Conduct*
    • Journal in the Round: Deconstructing the SEC's New Rule Package 
    • How Do You Comply? A Conversation With The Experts At FPA Annual Conference 2019

    *Please note: This course does not satisfy the CFP Board Ethics CE requirement.

    This course, exclusively for FPA members, includes video presentations and resources created by leading legal and financial industry compliance and regulations experts to explain, explore and unpack what the SEC rule package and the CFP Board's Code of Ethics and Standards of Conduct mean specifically for financial planners:

    • SEC Regulation Best Interest: What It Means for Financial Planners
    • Understanding SEC's Interpretation Regarding the Standard of Conduct for Investment Advisers 
    • An Overview of How to Use Form CRS 
    • An Introduction to the SEC's Investment Advice Rule Package 
    • Comparing SEC Reg BI and CFP Board Code of Ethics and Standards of Conduct*
    • Journal in the Round: Deconstructing the SEC's New Rule Package 
    • How Do You Comply? A Conversation With The Experts At FPA Annual Conference 2019

    *Please note: This course does not satisfy the CFP Board Ethics CE requirement.

  • Journal in the Round: Voices of the Profession on SEC Proposed Rules

    Product not yet rated Contains 3 Component(s)

    A cornerstone of any profession is the willingness of those in the profession to have their voices heard on the policies that impact them, their businesses and their clients. Join our panel of advocacy experts and FPA volunteers that represent the FPA Member Advocacy Council (MAC) and FPA Legislative and Regulatory Issues Committee (LRIC) as they discuss how these groups participated in organizing and composing the Financial Planning Coalition’s public comment on the proposed SEC regulatory package. This panel discussion incorporated August's regulatory update and fiduciary theme of the Journal of Financial Planning.

    A cornerstone of any profession is the willingness of those in the profession to have their voices heard on the policies that impact them, their businesses and their clients. Join our panel of advocacy experts and FPA volunteers that represent the FPA Member Advocacy Council (MAC) and FPA Legislative and Regulatory Issues Committee (LRIC) as they discuss how these groups participated in organizing and composing the Financial Planning Coalition’s public comment on the proposed SEC regulatory package. This panel discussion incorporated August's regulatory update and fiduciary theme of the Journal of Financial Planning.

    • Discover the impact of the SEC proposed regulatory package on investment advisers and broker-dealers
    • Identify elements of the document that is being proposed as a mandatory requirement by the SEC

    James Lee, CFP®

    Founder & President, Lee Investment Management

    James Lee is founder and president of Lee Investment Management, an SEC-registered investment advisory firm based in Saratoga Springs, NY. James has been an FPA member since 1998 and currently serves as chair of the FPA's Legislative and Regulatory Issues Committee.

    Chris Draughon, CFP®

    Director of Financial Planning, First Coast Wealth Advisor

    Chris Draughon currently serves on the board of directors of the Financial Planning Association (FPA), and includes many others who support the financial planning process. Draughon is director of Financial Planning at First Coast Wealth Advisors, a Florida-based financial planning firm providing personalized investment advisory and financial planning services to families and business owners. He has been helping families achieve their financial goals for more than 12 years.

    Josephine Colacci, Esq.

    Public Policy Counsel, Financial Planning Association

    Josephine Colacci is the Public Policy Counsel for the Financial Planning Association (FPA) and is a licensed attorney in Colorado, Washington, D.C., and Wyoming. With 12 years of experience in health care public policy on the multistate level, she has also served as the director of government affairs for the International Association of Healthcare Central Service Materiel Management since 2010.

  • Journal in the Round: Four Snapshots of Financial Planning Career Possibilities

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    During this program, the May Journal of Financial Planning contributors Alexandria Cole-Davis, Ryan S. Galiotto, CFP®, Soraya Morris, ChFC®, and Brent Weiss, CFP®, ChFC®, describe their diverse career journeys into the financial planning profession, discussing the challenges and highlights that made the greatest impact on the way they view their future in the profession and the profession. This online, interactive roundtable was led by moderator and host Bill Harris, RMA®, CFP®. 

    During this program, the May Journal of Financial Planning contributors Alexandria Cole-Davis, Ryan S. Galiotto, CFP®, Soraya Morris, ChFC®, and Brent Weiss, CFP®, ChFC®, describe their diverse career journeys into the financial planning profession, discussing the challenges and highlights that made the greatest impact on the way they view their future in the profession and the profession. This online, interactive roundtable was led by moderator and host Bill Harris, RMA®, CFP®. 

    Ryan S. Galiotto, CFP®

    Financial Planner, Fields Financial Services

    Ryan S. Galiotto is a financial planner at Fields Financial Services, the founder of YourBestFinancialLife.com.

    Alexandria Cole-Davis

    Business Development Associate, Facet Wealth

    Alexandria Cole-Davis is the business development associate at Facet Wealth and FPA NexGen 2020 president.

    Soraya Morris, ChFC

    Lead Trainer, Envestnet MoneyGuide

    Soraya Morris is the lead trainer at Envestnet MoneyGuide.

    Brent Weiss, CFP®, ChFC

    Co-founder and Chief Evangelist, Facet Wealth

    Brent Weiss is the co-founder and chief evangelist at Facet Wealth.

    Bill Harris, RMA, CFP®

    Co-Founder, WH Cornerstone Investments

    As a Certified Financial Planner Practitioner, a Retirement Management Advisor, an Ed Slott Elite IRA Advisor and past President of the Financial Planning Association (FPA of Massachusetts), Bill's knowledge and expertise optimizes our client's financial resources to help them achieve their dreams in the calm and the storm. Bill's experience in the financial sector began over 25 years ago. In his former roles, Bill worked for State Street Global Advisors and in the custodial field for State Street Bank with numerous mutual fund companies, fund managers and investment advisers as an account manager in domestic and international operations. Bill has an MBA from Suffolk University and a BS in Management from Daniel Webster College. Bill lives in Plymouth and the Berkshires with his wife, Paula Harris.

  • Journal in the Round: Deconstructing the SEC's New Rule Package

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    The contributors of September's Journal of Financial Planning, Kevin L. Walsh and David N. Levine with Groom Law Group, continue to discuss the SEC's new rule package and main components of Reg BI. During this online interactive roundtable Walsh and Levine explain how to meet the best interest standard through the component obligations, how the package impacts financial planners, their clients, and more.

    The contributors of September's Journal of Financial Planning, Kevin L. Walsh and David N. Levine with Groom Law Group, continue to discuss the SEC's new rule package and main components of Reg BI. During this online interactive roundtable Walsh and Levine explain how to meet the best interest standard through the component obligations, how the package impacts financial planners, their clients, and more.

    • Discuss the SEC's new rule package and main components of Reg BI
    • Examine the various components of the SEC's investment advice rule package to determine how best to comply with them, per the effective date of June 30, 2020
    • Demonstrate an understanding of how the SEC's Regulation Best Interest impacts the work of broker-dealers and investment advisers

    David N. Levine, Esq.

    Principal, Groom Lawn Group

    David N. Levine, Esq., advises plan sponsors, advisers, and other service providers on a wide range of employee benefits matters, from retirement and executive compensation to health and welfare plan matters. Levine advises on the design and redesign of complex retirement, executive, and health and welfare plans; ongoing, day-to-day counseling of plan sponsors; in-depth compliance reviews of corporate and governmental benefit programs; products and compliance for retirement and health service providers, and representation of tax-exempt organizations with respect to issues involving corporate governance, executive compensation, and unrelated business income tax liability. He was previously the chair of the IRS Advisory Committee on Tax Exempt and Government Entities (2011-2013) and is currently a member of the executive committee of the Defined Contribution Institutional Investment Association and serves in a number of leadership roles in the American Bar Association Tax Section's Employee Benefits Committee. Levine regularly speaks on plan design, fiduciary governance, and legislative issues and contributes a recurring column to NAPA Net  The Magazine. He is recognized in the Chambers USA guide for Employee Benefits & Executive Compensation.

    Kevin L. Walsh, Esq.

    Principal, Groom Law Group

    Kevin L. Walsh, Esq., advises clients on a wide range of fiduciary matters and other issues involving benefit plans. His practice encompasses helping plan service providers comply with the Department of Labor's fiduciary rules, working with them as they develop processes for and make investments, and helping them navigate the impact of Commodity Futures Trading Commission (CFTC), Office of Foreign Assets Control (OFAC), and SEC regulations. Walsh counsels clients primarily on issues related to Title I of ERISA, but also works with clients on the intersection of ERISA and other federal statutes. He assists insurers in obtaining guidance from the Department of Labor, and helps plan fiduciaries structure investments. He has also worked with plan service providers to structure the distribution of proprietary products in a manner that complies with ERISA's prohibited transaction provisions. He is also a member of Groom's Policy and Legislation Group, where he leverages his deep legislative experience on behalf of clients by providing technical legislative drafting services and strategic advice on interacting with the legislative and executive branches.

    Raymond Benton, CFP®, CRPC, EA

    Benton & Company

    A. Raymond Benton is a CERTIFIED FINANCIAL PLANNER professional and member of FPA, serving clients at Benton & Company in Denver, Colo. and the surrounding communities.