Focus on Fiduciary

November 13 2017
Westin Washington D.C. City Center
1400 M Street, NW
Washington, DC 20005
United States
+1 (202) 429-1700

Confused about Fiduciary laws and regulations?  Avoid the confusion and discover how to implement fiduciary best practices that will stand the test of ever-changing legislation.

General Session
Mon. Nov 13
Groom Law Group

David Levine, principal, Groom Law Group, advises plan sponsors, advisors, and other service providers on a wide range of employee benefits matters, from retirement and executive compensation to health and welfare plan matters. Mr. 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 business income tax liability. Previously the Chair of the IRS Advisory Committee on Tax Exempt and Government Entities (2011-2013) and currently a member of the Executive Committee of the Defined Contribution Institutional Investment Association, he serves in a number of leadership roles in the American Bar Association Tax Section's Employee Benefits Committee. He earned a B.A with honors, John Hopkins University, and a J.D., University of Pennsylvania Law School.


John Nersesian, managing director of wealth management services, Nuveen, provides wealth management and practice development education and consulting support to advisors. His experience includes work as a financial advisor to corporate executives, affluent families, and nonprofit organizations. Previously, Mr. Nersesian was a first vice president at Merrill Lynch Private Client Group, where he was a leader in comprehensive wealth management strategies and business development practices training. He earned a B.S. in business and economics, Lehigh University. He frequently contributes to the Wall Street Journal, Bloomberg, and other media outlets. He serves as IMCA’s past chair for the 2016–2018 term. He joined the board of directors in 2006 and is board liaison to the IMCA Advanced Wealth Management Committee.

Hardy Reed

Scott Reed, principal, chief executive officer, and co-founding partner, Hardy Reed, began working in the investment industry in 1985 with more than 20 years of experience at J.J.B. Hilliard, W.L. Lyons, LLC, brokerage firm, where he met his present-day partner, John Hardy. Mr. Reed is a member of the National Council on Planned Giving, the Planned Giving Council of Northeast Mississippi, and IMCA. He has authored a nationally syndicated financial newspaper column for 25 years and speaks across the nation on investment and fiduciary responsibility. He served on IMCA’s Code of Ethics Committee and has been a guest lecturer on the topic of ethics at The Owen School of Management, and at his alma mater, Vanderbilt University. He earned an endowments and foundations certificate, The Wharton School of Business, University of Pennsylvania.

Roberts, Raheb, & Gradler, LLC and Former SEC Commissioner

Richard Roberts, principal, Roberts, Raheb, & Gradler, LLC (a regulatory/legislative consulting firm he co-founded in 2006), provides strategic advice and targeted lobbying services for Fortune 500 and small business clients and focuses on regulatory policy initiatives at the Securities and Exchange Commission and the Commodity Futures Trading Commission. Previously, Mr. Roberts served as a commissioner of the Securities and Exchange Commission, as chief of staff for Senator Richard Shelby, and in various positions for the National Association of Securities Dealers. Most recently, he worked as a partner in the law firm Thelen, Reid, & Priest. He is a frequent media commentator and writer and has assisted the governments of Romania and Ukraine in developing a securities market. He earned a B.E. in electrical engineering, Auburn University, a J.D., University of Alabama School of Law, and an LL.M., George Washington University Law Center.

Groom Law Group

George M. Sepsakos, associate in fiduciary responsibility, Groom Law Group, focuses primarily on issues related to Title I of ERISA, including fiduciary responsibility and prohibited transaction issues. Previously, Mr. Sepsakos worked as an ERISA Enforcement Advisor within the Office of Enforcement of the Department of Labor's Employee Benefits Security Administration. He earned a B.A., Michigan State University, and a J.D., University of Michigan Law School.



Potomac Strategies, LLC

Duane Thompson is president of Potomac Strategies LLC, a consulting firm in the Washington, D.C. area specializing in financial services regulation, and represents IMCA in Washington on policy issues affecting wealth managers. Previously, he was managing director of the Financial Planning Association's Washington office. Before that, he was press secretary to Colorado Congressman Michael Strang and later served in the White House Office of the Press Secretary during the Reagan Administration. Mr. Thompson has more than 20 years of experience in government relations work at the federal and state levels. He earned a bachelor of arts degree from Principia College, a master's degree in journalism from the  University of Missouri, and holds the Accredited Investment Fiduciary Analyst® designation.    

Ropes & Gray

David Tittsworth, counsel, Ropes & Gray, provides information and advice to clients on the ever-changing regulatory and legislative landscape for asset management firms. Previously, Mr. Tittsworth was president and CEO of the Investment Adviser Association for 18 years where he advocated on behalf of the investment advisory profession on numerous legislative, regulatory, compliance, and policy issues. Before that, he worked in various positions on Capitol Hill, including serving as counsel to the House Energy & Commerce Committee chaired by Rep. John Dingell.



Horizon Investments

Greg Valliere, chief political strategist, Horizon Investments, has nearly 40 years of experience following Washington issues for institutional and retail investors. His work focuses on the vital intersection of politics and economics, including the role of Congress and the White House in fashioning fiscal policy, and interest rate policy as determined by the U.S. Federal Reserve. Previously, he was chief political strategist at the Potomac Research Group and has held many positions during his career, including director of research at the Charles Schwab Washington Research Group. Mr. Valliere is widely quoted in the nation’s leading financial publications and is a regular guest on many television news programs. He earned a B.A., George Washington University.

Westin Washington D.C. City Center
1400 M Street, NW
Washington, D.C. 20005
Hotel Reservations: 1.800.937.8461

IMCA has reserved a block of rooms at the Westin Washington D.C. City Center at the special group rate of $299 single/double per night. This rate includes complimentary in-room Internet.  Make your reservation now or call 800.937.8461 and reference IMCA. The special rate is available through October 23, 2017, on a first-come, first-served basis, so early reservations are recommended.

Effective June 15, 2017, the cancellation policy for individual guest room reservations will be 48 hours. To avoid charges for a cancelled reservation, please ensure the cancellation is made directly with the hotel within 48 hours or more prior to arrival.

The hotel requires a one night deposit to secure the reservation. Please call the hotel at 202.429.1700 for further details.

Booking a room in the IMCA room block is an important way to support the association and keep overall meeting costs as low as possible. IMCA commits to a block of rooms at the hotel on behalf of conference attendees and has a financial obligation to fill the block. Please help us avoid potential penalties and control costs for future events by staying at the official hotel. Staying within the block is also more convenient and helps you stay connected with the informal activities and networking opportunities that occur at the hotel during the conference. If you are required to reserve a room through your company’s travel department, please forward the booking link to them so that you can reserve a room in IMCA’s room block.

Location and Transportation
The Westin Washington D.C. City Center is located in the heart of downtown Washington D.C. and is served by three DC/Baltimore area airports.

  • Ronald Reagan Washington National airport is six miles (20 minutes by car). A taxi is $30 each way.
  • Dulles International Airport is 32 miles (45 minutes by car). A taxi is $70 each way.
  • Baltimore-Washington International Airport is 33 miles (One hour by car). A taxi is $90 each way.

Shuttle service is available through Super Shuttle and shared ride services such as Uber and Lyft operate from all three airports.

Amtrak’s Union Station is approximately two miles from the hotel.

The hotel is accessible by public transportation via the McPherson Square Metro Station, served by the orange, blue and silver lines.

The hotel will provide a discounted daily parking rate of $39 for overnight guests and a daily parking rate of $20 for non-overnight conference attendees.

Continuing Education (CE) Credit

IMCA Certification (CIMA®, CIMC®, CPWA®). This program will provide up to 7 hours of CE credit, including 1 hour of ethics CE. IMCA will upload all CE earned directly to your MyIMCA record within two weeks of the activity. The program is subject to change which may affect the number of hours of CE provided.

CFP® Certification. This program has been accepted for up to 5 hours of CFP CE credit. IMCA will report your attendance at individual conference sessions to the CFP Board on your behalf. Please check your MyIMCA account to ensure your CFP ID is in our database and accurate.

NASBA CPE Credit.  IMCA is registered with the National Association of State Boards of Accountancy as a sponsor of CE on the National Registry of CPE Sponsors (ID 106054).  State boards of accountancy have final authority about the acceptance of individual courses.  Individuals are responsible for submitting any necessary paperwork and/or fees to their state boards.  Upon request, IMCA will provide a certificate of attendance after the conference.

Other certifications/designations.  IMCA does not submit programs to state insurance departments and bar associations.  Individuals are responsible for submitting any necessary paperwork and/or fees to their state boards.  Upon request, IMCA will provide a certificate of attendance after the conference.

The topics addressed in this conference are designed for experienced investment and wealth advisors. While IMCA does not explicitly require prerequisite education or experience to attend, attendees who wish to maximize the value of each session should consider participating in IMCA's CIMA or CPWA certification programs. 

IMCA thanks these partners for their support of this event:

Platinum Partners

Amundi Pioneer Investments
Russell Investments

Silver Partners
Fidelity Investments
Smead Capital Management

Contact Lara Davies at [email protected] for exhibitor and sponsorship opportunities if you are East Coast-based. Contact Suzie Byrnes at [email protected] if you are West Coast/Midwest-based.