Quarterly Education Meeting (May 2019)


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 May 15, 2019, at the UCI Student Center. Plus, mark your calendars now for our other 2019 meetings: August 28 and November 20.

Cost: FPA Members $30 | First-Time Visitors are $30 | Non-Members $160
Lunch and Parking are included.

We anticipate offering 5.0 hours of CE for CFP® Professionals and 5.0 hours of CPA CPE.

RSVP: By Noon on May 10, 2019

Speakers & Agenda:

Ed Slott, CPA

Partner, Ed Slott and Company, LLC

Session Title:
2019 IRA Strategy Session

This session will cover the best IRA and retirement tax planning strategies, after tax reform, and how to identify the clients who will benefit the most from them. These are all specific high-value actions advisors can use immediately with clients, prospects, CPAs, and other referral sources. The program will also include recent court cases and IRS rulings that advisors can learn from to help clients avoid the most costly and embarrassing retirement planning mistakes made by financial and tax advisors.

Learning Objectives:
  • How to recognize and use the best new opportunities favoring financial advisors – events for advisors to act on now.
  • How to increase your fee income without losing clients – by providing quantifiable value. Learn 5 high-value planning services you can put into action immediately.
  • Gain knowledge of the latest tax, income, retirement and estate planning strategies and see how to help your clients take maximum advantage of them. Learn the latest IRA and Plan Cases and Rulings that all financial planners need to know.

Level of Complexity: Intermediate

CE: 2.0 hours CFP CE and 2.0 hours CPA CPE


Ed Slott was named “The Best” source for IRA advice by The Wall Street Journal.

He is a nationally recognized professional speaker and has starred in several nationally aired public television specials including his most recent, “Retire Safe & Secure! with Ed Slott” (2019).

Slott created The IRA Leadership Program™ and Ed Slott’s Elite IRA Advisor GroupSM, which were developed specifically to help financial professionals earn recognition as leaders in the IRA marketplace.

Mr. Slott is an accomplished author of many financial and retirement-focused books, including most recently Ed Slott’s Retirement Decisions Guide: 2019 Edition (IRAHelp, 2019) and Fund Your Future: A Tax-Smart Savings Plan in Your 20s and 30s (IRAHelp, 2018). Slott also publishes Ed Slott’s IRA Advisor, a monthly IRA newsletter. He is a personal finance columnist for numerous financial publications.

As a thought leader in the retirement industry, Slott is often quoted in The New York Times, The Wall Street Journal, Forbes, Money, Kiplinger’s, USA Today, Investment News and a host of additional national magazines and financial publications. He has appeared on numerous national television and radio programs. Mr. Slott is also a consultant to financial information websites.

He is a past Chairman of the New York State Society of CPAs Estate Planning Committee and editor of the IRA planning section of the CPA Journal. Mr. Slott is the recipient of the prestigious “Excellence in Estate Planning” and “Outstanding Service” awards presented by The Foundation for Accounting Education. He is a former Board member of The Estate Planning Council of New York City and an Accredited Estate Planner (AEP) distinguished.

Website: www.irahelp.com

Email: info@irahelp.com

Twitter: @theslottreport

Facebook: AmericasIRAExperts

LinkedIn: Ed Slott

YouTube: EdSlottandCompanyIRA

Jay Mooreland, MS, CFP®

Founder, The Behavioral Finance Network

Session Title:
Behavioral Coaching –Understanding & Improving Investor Behavior

For decades the financial industry has focused on reducing portfolio volatility, but has ignored the problem of behavioral volatility. This presentation introduces the concept of proactively coaching clients to help them improve their decisions. This presentation will cover several common influencers of investor behavior. Attendees will learn how emotions and cognitive shortcuts encourage investors to act contrary to their long-term goals. Several “coaching” concepts will be taught, and attendees will learn what they can do to help their clients make more thoughtful, deliberate decisions despite the urges to do the contrary.

Learning Objectives:
  • Learn how mental shortcuts influence poor investment decisions
  • Learn how emotions “protect us” while hijacking our ability to analyze situations
  • Implement takeaways shared in presentation to “coach” clients to think more deliberately (less knee jerk reactions) about their financial decisions

Level of Complexity: Intermediate

CE: 1.0 hours CFP CE and 1.0 hours CPA CPE


Jay is a passionate advocate for progress, both personal and professional. He founded The Behavioral Finance Network which helps advisors apply behavioral finance principles to their practice and coach their clients to make better investment decisions. Jay has created several tools to help financial advisors differentiate themselves and coach their clients to make more thoughtful, deliberate decisions. He has authored several journal articles on the topic of behavioral biases and wrote the Amazon best seller, The Emotional Investor: How Biases Influence Our Investment Decisions…and What You Can Do About It. Jay holds a Bachelor of Science in Business Finance and a Master of Science in Applied Economics. He  currently resides in St Paul, MN with his wife, two children and a British Lab.

Twitter: @Emotionalinvest

Website: behavioralfinancenetwork.com

Matt Sommer, CFA, CFP®, CPWA®

Vice President, Retirement Strategy Group, Janus Henderson Investors

Session Title:
Retirement Plan Design Opportunities for Small Businesses

In this discussion, we’ll cover what type of retirement plan is most appropriate for different types of small businesses, the advantages of retirement plans and which types of businesses are eligible to set up these plans. After going into more detail on businesses with and without employees and the types of plans (Profit-Sharing, Tiered 401(k), Cash Balance Plan, etc.) that may work best for these types of businesses, we conclude the presentation with year-end actions steps. These action steps include what should be done with an existing money purchase plan, what business owners who would like to contribute more than $55,000 into a plan should consider moving forward, and how SIMPLE IRAs should be reviewed to see if a Safe Harbor 401(k) might be more beneficial.

Learning Objectives:
  • We’ll cover what type of retirement plan is most appropriate for different types of small businesses
  • The advantages of retirement plans
  • Which types of businesses are eligible to set up these plans
  • A presentation of year-end actions steps

Level of Complexity: Intermediate

CE: 1.0 hours CFP CE and 1.0 hours CPA CPE


Matt Sommer is Vice President, Retirement Strategy Group at Janus Henderson Investors. In this role, he leads the Defined Contribution and Wealth Advisor Services Team. His expertise covers a number of areas, including regulatory and legislative trends, practitioner best practices, and financial and retirement planning strategies for high-net-worth clients. Prior to joining Janus in 2010, Mr. Sommer spent 17 years at Morgan Stanley Wealth Management and its predecessors, Citi Global Wealth Management and Smith Barney, during which time his roles included director of financial planning and director of retirement planning.

Mr. Sommer received his bachelor’s degree in finance from the University of Rhode Island and an MBA with a concentration in finance from Pace University, Lubin School of Business. He is a Certified Private Wealth Advisor (CPWA®) and currently serves on the CPWA examination task force. Additionally, Mr. Sommer is an adjunct professor at the College for Financial Planning of the CFP® and CRPS® programs. He is also a Ph.D. student at Kansas State University. Mr. Sommer holds the Certified Financial Planner (CFP®) and Chartered Financial Analyst designations. He has 25 years of financial industry experience.

Top Charitable Trends and Practical Gifting Strategies Panel

Carl Wayne, Senior Advisor, Charitable Estate Planning at American Heart Association|American Stroke Association
Marty Dutch, VP Philanthropy Services & Executive Director of Scholars First at First Foundation, Inc.
Shawn Jensen, Senior Relationship Manager, Schwab Charitable

Session Title:
Charitable Planning: Top Charitable Trends and Practical Gifting Strategies: A Case Study Approach

As clients and donors seek tax-effective ways to manage and distribute their wealth, it is increasingly important to offer charitable and estate planning solutions that match their unique needs and interests. This panel will present a lively-two part discussion in which we will discuss the latest trends in philanthropy, highlight what every advisor must know about philanthropy to serve their clients effectively, and share winning strategies that you can employ to solve your clients’ challenges and maximize their tax savings and charitable impact.

Learning Objectives:
  • The latest trends in charitable giving
  • Three Must-Know Gifting Strategies
  • Specific strategies via case studies that address complex charitable and estate planning dilemmas and their corresponding solutions

Level of Complexity: Overview

CE: 1.0 hours CFP CE and 1.0 hours CPA CPE