I specialize in navigating the complex interplay between tax, ERISA, and securities laws and regulations, leveraging this expertise to enhance compliance, training, and practice management for our bank, broker-dealer, and registered investment adviser (RIA) clientele. As the founder and CEO of Pension Resource Institute, LLC (PRI), I am dedicated to assisting banks, broker-dealers, and registered investment advisers in developing and maintaining profitable approaches for serving retirement investors. The cornerstone of PRI's foundation is the belief that compliance, with retirement regulations, should not only be accessible but also affordable.Beyond leading PRI, I established and manage the Retirement Law Group (RLG), a firm providing comprehensive services to plan sponsors, investment professionals, and service providers in the retirement sector. RLG delivers a network of preeminent ERISA, tax, and securities lawyers who offer their expertise to clients on a project basis, with flat fee or hourly rate options.Additionally, I am a founder and managing member of Group Plan Systems (GPS) – an independent fiduciary services firm overseeing pooled employer plans and other group retirement plans.Prior to founding PRI, RLG, and GPS, I was a partner and co-chair of the Financial Services Group at a leading ERISA law firm, acquired by Faegre Drinker Biddle & Reath LLP, and served as the head of the Investment Fiduciary practice for national securities law firm, acquired by Freeman Mathis & Gary.I have published numerous articles focusing on ERISA and securities compliance, fiduciary best practices and am a frequent retirement industry conference speaker. I am a contributing author and faculty member for the Practicing Law Institute and have been repeatedly recognized as one of the “100 Most Influential in Defined Contribution” by the 401(k) Wire and a “Rising Star” by Super Lawyers Magazine. I was also selected by InvestmentNews as one of the “Top 40 Advisors & Associated Professionals under 40”, and was tapped by the Wall Street Journal for its “Ask the Experts” series, answering readers’ questions relating to Department of Labor Fiduciary Regulations.I received my B.S.B.A. in Finance and Banking from the University of Missouri and my J.D. from UCLA Law School.Specialties: ERISA | Securities Laws/Regulations| Bank, Broker-Dealer and Registered Investment Adviser Compliance | 401k Plan Governance | Pooled Employer Plans| Fiduciary Standards | SEC Rules | DOL Regulations and Prohibited Transaction Exemptions | DOL Investigations | IRS Audits.
Listed skills include 401K, Securities, Erisa, Retirement Planning, and 41 others.
