Quarterly Education Meeting


8:30 am - 4:30 pm
Location: UCI Student Center
A, 311 W Peltason Dr
Irvine, CA 92697

Join Us!

Join us for our next Quarterly Education meeting on Wednesday, August 28, 2019, at the UCI Student Center from 8:30 AM – 4:30 PM.

Cost: FPA Members $30 | First-Time Visitors are $30 | Non-Members $160
Lunch, parking and applicable continuing education credits are included.

CE: We anticipate offering 4.0 hours CFP CE and 5.0 hours CPA CPE.

RSVP: By Noon on August 23, 2019

Plus, mark your calendars now for our upcoming meetings:

  • (2019) November 20
  • (2020) February 12, May 13, August TBD, and November 4.

Speakers & Agenda:

Jason Wenk

CEO of Altruist

Session Title:
Help More Clients by Engaging Them in a Financial Planning Process They Love

Jason will discuss the planning and meeting process that helps clients fully engage in goals-based planning.

Learning Objectives:
  • Participants will learn about why many clients are bitter about “financial planning.
  • Participants will learn how to engage clients in the planning process.
  • Participants will learn how to implement financial plans your clients will actually stick to, and therefore benefit from.

Level of Complexity: Intermediate

CE: 1.0 hour CFP CE and 1.0 hour CPA CPE


Jason Wenk is a serial fintech entrepreneur and founder. He led FormulaFolios to become one of the fastest growing RIA firms in the country, from startup to $3.25 billion in client assets. This growth landed FormulaFolios on the Inc. 500 list 3 consecutive years, and in the top 15 in both 2016 and 2017. He was also the Finance Newsmaker of the Year in 2016 and 2017 in his original hometown of Grand Rapids, Michigan. More recently Jason was a finalist for the EY Entrepreneur of the Year (industry disruption category) in 2018. His latest startup, Altruist, is a digital brokerage platform made exclusively for financial advisors, allowing them to deliver better advice to clients at a lower cost and with more efficiency.

Joy Sorensen Navarre

President and Founder, Navigate Student Loans

Session Title:
A Professional’s Guide to Navigating Student Loan Repayment

Clients with high incomes and high student loan debt feel overwhelmed and confused about how to manage repayment…and so do their advisors! Recently a highly successful financial advisor told me, “I don’t work with physicians, because they don’t have any money.” A physician earning $250,000 told me, “I’m not making enough money.” In both cases, high student loan payments caused the physicians to feel cash poor.

Your highly educated, high income earning clients may feel swamped by enormous student debt. Learn the best and worst advice you can provide clients and prospects on student loans. Dig into today’s hottest and least understood topic: student loan repayment and forgiveness.

Learning Objectives:
  • Dig into student loan repayment and forgiveness options.
  • Know the good, the bad and the ugly about private loan consolidation and refinance.
  • Understand what a loan servicing company might not tell your clients that can hurt them.

Level of Complexity: Intermediate

CE: 1.0 hour CFP CE and 1.0 hour CPA CPE


Joy is President of Navigate, a national consulting company. Health systems hire Navigate to consult with their physicians for student loan relief. Navigate’s clients are on track to save over $150 million dollars on their student loans.

Website: https://navigatestudentloans.com/

LinkedIn: https://www.linkedin.com/in/joysorensennavarre/

YouTube: https://www.youtube.com/channel/UCWm4IvmgjyVXa10c3ure7dw


Caleb Brown, MBA, CFP®

Co-Founder & CEO, New Planner Recruiting

Session Title:
Recruiting and Hiring Effectively for Your Firm

Recruiting and hiring for your firm can be a very challenging and time-consuming process, but it doesn’t have to be! Caleb Brown, nationally known expert and Co-Founder and CEO of New Planner Recruiting, shares what he has learned over 10 years of recruiting financial planning talent for firms across the country. Attendees will gain his insights into crafting a unique position description so you will stand out, where to source candidates to build a pipeline, how to effectively screen candidates to ensure they are a good fit for your firm, compensation data, successfully integrating a new hire into your firm, and strategies for retaining them.

Learning Objectives:
  • How to create a compelling opportunity and culture that attracts new talent.
  • Details of what works and does not work with candidate sourcing and screening strategies.
  • Learn components of successful retention techniques.

Level of Complexity: Overview

CE: 1.0 hour CPA CPE only. This session is not eligible for CFP CE.


Caleb is the co-founder and CEO of New Planner Recruiting, a recruiting firm that specializes in sourcing, screening, and integrating financial planners in financial planning firms nationwide.  He was named the Next Generation Influencer by Financial Planning magazine, one of the top 25 most influential people in the industry by Investment Advisor, and Investment News 40 under 40. He is a graduate of the Texas Tech Personal Financial Planning Program and spent over five years in an RIA firm in North Texas helping a sole practitioner transition the firm to an ensemble model. He has been recognized as a Distinguished Alumnus for the TTU College of Human Sciences as well as a Distinguished Alumnus for the TTU Financial Planning Program. His new book Successful Hiring for Financial Planners: The Human Capital Advantage is a compilation of the to-do’s and what-not-to-do’s in hiring for a financial planning firm so business owners can alleviate pain points often associated with hiring.

He is a Kolbe Certified™ Consultant, and original creator of the FPA Career Day program, which began with the Dallas/ Ft. Worth chapter and subsequently, has been implemented by other organizations across the nation. Throughout Brown’s career, he has mentored, hired, managed, and coached many career changers and college students seeking internships and full-time positions in financial planning as well as the firm owners who hire them.   He is also an Adjunct Faculty member for the University of Georgia’s Financial Planning Program.

Outside of work, Caleb coaches boys’ basketball for Downtown Ministries, a program to teach inner city kids necessary life skills. He is also an avid golfer, hiker, Tough Mudder, and snowboarder.

Twitter: @NewPlnrrec

Website: www.newplannerrecruiting.com

Lunch and Networking

Jacob Richter (Territory Manager)
Jon Estes (Regional Director)

Nationwide Advisory Solutions

Session Title:
Traditional Variable Annuity vs. Investment Only Variable Annuity: An In-Depth Analysis Comparing Traditional Variable Annuities With Investment-Only Variable Annuities

The presentation seeks to educate on the key differences between traditional variable annuities and investment-only (or fee-based) variable annuities. We will discuss the various types of insurance riders often included with traditional variable annuities (structure, cost, etc.) and compare these to the investment-only variable annuity by discussing client scenarios.

Learning Objectives:
  • Overview of traditional annuities and popular insurance riders in the marketplace.
  • Greater understanding of investment-only variable annuities.
  • Specific case studies in which a variable annuity or investment-only variable annuity may be a more appropriate solution for the client.

Level of Complexity: Overview

CE: 1.0 hour CFP CE and 1.0 hour CPA CPE


Jason Richter, your Southern California fee-based expert, has worked across multiple facets of the industry, including serving as financial advisor for an RIA firm. In his current role as a Territory Manager at Nationwide Advisory Solutions, Jacob is committed to helping advisors and their clients plan for the future with thoughtful, unbiased guidance and support. To better serve his advisors, Jacob will continue to expand his education by taking the CFP® Board exam in July.

Jon Estes is a versatile, results-driven business and thought leader with experience working with Fortune 100 companies, non-profits and global organizations. In his current role as a Director at Nationwide Advisory Solutions, he specializes in business development, strategic partnerships, sales, and leadership development. Mr. Estes has been a speaker at many of the largest national financial services and investment firms, as well as a guest lecturer for multiple universities and non-profit organizations.



Troy Runnells, CPA

Senior Director for Strategy and Business Development, My 529

Session Title:
529 Plans: Benefiting Your Clients, Their Children, and You

The costs of higher education continue to rise. For families saving for college, 529 plans offer advantages over other saving vehicles. However, with so many 529 plans out there, how do you determine which one is the best fit for your clients? Join Troy Runnells, my529’s senior director for strategy and business development, as he lays out the criteria for choosing a 529 plan. Troy also will explain how 529s work, from withdrawing funds to pay for educational costs to the tax implications of using 529 funds for non-educational purposes. Planning for college costs is one piece of the puzzle that makes up a comprehensive financial plan. Troy will provide a brief overview of my529 and the tools my529 can provide to financial advisors that make it easy to manage a 529 account.

Learning Objectives:
  • Understand the rising cost of educational expenses.
  • How to determine the best fit in a 529 plan selection.
  • How an advisor can use a 529 plan to complement their total financial planning picture.

Level of Complexity: Overview

CE: 1.0 hour CFP CE and 1.0 hour CPA CPE


Troy Runnells is the my529 Senior Director for Strategy and Business Development. my529, Utah’s 529 educational savings plan, manages more than $13.5 billion in assets in over 395,000 accounts. Troy has been instrumental in guiding my529’s significant growth throughout his 14-year tenure. Noted accomplishments include developing the platform to support relationships with financial advisors and refining the business continuity plan.

Prior to coming to my529, Troy was the corporate controller for a national retailer, overseeing accounting and technology for 24 locations nationwide. He also worked at Deloitte & Touche in Orange County, California, in its tax and audit departments.

Troy graduated from Brigham Young University with a Bachelor of Science in accounting. He earned a Master of Business Administration from Utah State University and is a Certified Public Accountant.

Troy has been active in professional and community organizations such as the State of Utah’s Council on Financial and Economic Education and the United Way. Currently, he serves on the Utah Association of CPA’s board of directors.

Troy grew up in Southern California and Hawaii, has completed five Ironman triathlons and coaches two competitive-level youth soccer teams. His adventurous spirit most recently led him to tackle a trek to base camp of Mt. Everest at 17,600 feet. Troy is married with four children.