401(k) Specialist Issue 2 - 2016 - 3

CONTENT
16 30
Columns
VOLUME 1 - ISSUE 2 2015
Features
16 ROLLOVERS: The Opportunity of a Lifetime
The rollover wave, tsunami, frenzy, madness (pick your metaphor) has begun. How can you
attract and retain as much as possible? How do you ensure you do it right? Rollover superstar
Ed Slott clues us in.
24 INVESTMENTS: ETFs in the House
Should they be treated like welcome family or imposing guests? Longtime industry observer
Lance Ritchlin recruits Tom Lydon, Rick Ferri and more for an honest look at ETFs' current-
and potential-role in the 401(k).
30 FIDUCIARY: The Benefits (Yes, Benefits) of New Regulation
Is anything and everything that purports to 'encourage more saving' actually good for the industry
and -more importantly-plan participants? Writer Denis Storey provides a surprising answer.
36 CLIENT ACQUISITION: 401(K)arma: The Best Way to Enter the Business
Newbies need to know the right and wrong way to get started, and experienced retirement
plan advisors need a reminder of why they took on 401(k)s in the first place.
40 The 401(k) Practice: How to Avoid the 401(k) Tech Wreck
Technology only works if it's actually used. If it sounds obvious, how come so many retirement
plan advisors still refuse to get onboard? Lynn Brackpool Giles runs through the hot products
to ease retirement plan advisors' angst.
Departments
6 Editor's letter
7 401(k) News You can Use
14 The Fiduciary File
43 The Fund Watch
Vol. 1, No. 2 @ 2015 by 401K Properties, LLC (ISSN: 2379-6405). All rights reserved. 401(k) Specialist is published
quarterly for a total of 4 issues per year, by 401K Properties, LLC, 6334 S. Racine Cir., Suite 200, Centennial, CO 80111.
POSTMASTER: Send address changes to 401K Properties, LLC, 6334 S. Racine Cir., Suite 200, Centennial, CO 80111.
Reproduction or reuse of any part of the work is strictly forbidden without written permission of the publisher.
22 Client Connection
Target date funds are supposed to
be simple, but certain assumptions
can mess it all up. Aliso Viejo, California-based
Nick Della Vedova,
president of Retirement Plan Advisory
group, explains.
23 DCREC
Laurie Tillinghast, co-president of
the Defined Contribution Real Estate
Council, makes a strong case for the
inclusion of real estate in the 401(k).
29 Investment Insight
Exchange-traded funds in 401(k)s are
a major theme in this month's issue.
Who better than Morningstar's David
Blanchett and Nathan Voris to take it
on. They provide three great reasons to
give the products a solid look.
34 Advisor Voice
Charles D. Epstein, better known as
'The 401(k) Coach,' recently surveyed
his coaching program clients-more
than 4,000 strong- for discussion topics
that would provide the most value
for growing their business. Take a guess
what took No.1?
35 Provider Perspective
As experienced 401(k) advisors, time is
our most precious commodity. Mario
C. Giganti, an owner and chief investment
officer of Cornerstone Capital
Advisors, tells us how data and technology
will get us more-much more.
44 The Close
History is littered with the corpses of
corporations that didn't understand
(or willfully ignored) changes in their
industry. Ary Rosenbaum tells 401(k)
advisors how to avoid becoming just
another lesson in what not to do.
ISSUE 2 2015 | 401kSpecialistmag.com 3
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401(k) Specialist Issue 2 - 2016

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