2009-2010 ASPPA Management Council

President
Sheldon H. Smith, APM

Sheldon H. Smith, APM, is a partner at Holme Roberts & Owens, LLP, practicing in its Compensation and Benefits Practice Group in the firm’s Denver office.  Sheldon counsels clients on qualified retirement plans, executive compensation, and fiduciary duties.  He represents clients before the IRS, the US Department of Labor (EBSA) and the Pension Benefit Guaranty Corporation.  With 35 years of litigation experience, Sheldon defends his clients in ERISA, tax and probate litigation. He is a fellow in the American College of Employee Benefits Counsel, and he has gained distinction as one of the Best Lawyers in America, Who’s Who in American Law, Who’s Who in American Education and as a Colorado Super Lawyer. He is also a past president of the Western Pension & Benefits Conference.

Thomas J. Finnegan, MSPA, CPC, QPA, is a principal of The Savitz Organization in Philadelphia, PA, and holds a bachelors degree in mathematics from St. Joseph's University. Tom is an actuary with more than 25 years experience working with all types of qualified and non-qualified retirement plans. Prior to joining The Savitz Organization, Tom served as a senior actuary for a major employee benefits consulting firm and the director of retirement plan services for a mid-sized regional consulting firm.

Tom has co- chaired the Defined Benefit Subcommittee and the Administrative Relations Committee of ASPPA’s Government Affairs Committee and currently serves as a Senior Advisor to that committee.   In addition, Tom has worked with the Education and Examination Committee and received ASPPA’s Educator of the Year Award in 2008.

 In addition to his involvement with ASPPA, he is a fellow of the Conference of Consulting Actuaries and a member of the American Academy of Actuaries. He is a frequent speaker at national benefit and actuarial conferences and has authored articles for national actuarial publications as well as regional newsletters.

Brian H. Graff, Esq., APM, began serving as Executive Director/Chief Executive Officer of ASPPA in November 1996. In this capacity, Brian oversees ASPPA’s operations, is a member of ASPPA’s Executive Committee and, working with ASPPA’s Board of Directors, helps to set the strategic direction for the organization. During his tenure, ASPPA has grown from a budget of $1.6 million to more than $11 million. Today, ASPPA is a national organization of more than 6,500 retirement plan professionals who provide consulting and administrative services for qualified retirement plans covering millions of American workers. In addition to representing the interests of ASPPA’s members before Congress and federal regulatory agencies, ASPPA annually conducts more than a dozen industry conferences, and annually administers more than 5,000 examinations leading to various industry-related professional credentials.

In 2007, Brian lead the formation of the Council of Independent 401(k) Recordkeepers (CIKR), an ASPPA subsidiary, for which Brian serves as staff president and primary advisor to CIKR’s Board of Directors. CIKR is a national organization representing the interests of  independent 401(k) plan service providers in Washington, DC. CIKR members are unique in that they are primarily in the business of providing retirement plan services as compared to financial services companies who primarily are in the business of selling investments. Collectively, the members of CIKR provide services to approximately 68,000 plans covering 2.8 million participants and holding in excess of $120 billion in assets.

Also in 2007, Brian spearheaded a partnership with the Centre for Fiduciary Excellence (CEFEX) to create the ASPPA Recordkeeping Certification Program, an independent attestation of a 401(k) plan recordkeeper’s adherence to a standard set of defined industry practices.  Brian also serves on the CEFEX Advisory Board.  In 2006, Brian helped establish a joint venture with the National Institute of Pension Administrators to create the American Institute of Retirement Education (AIRE). AIRE, whose operations are under ASPPA’s auspices, was recently awarded a contract by the Internal Revenue Service (IRS) to administer the IRS’ new designation for retirement plan professionals, the Enrolled Retirement Plan Agent (ERPA).

Brian’s other activities and accomplishments include:

• One of 401k Wire’s “50 Most Influential Persons in the 401(k) Industry” (2007, 2008)
• Institutional Investor News’ “Washington Impact Player of the Year” (2006)
• Delegate to all the White House/Congressional National Summits on Retirement Savings
• Testified several times before Congress and the DOL ERISA Advisory Council
• Member, US Chamber Committee on Employee Benefits
• Board Member, Small Business Council of America
• Board Member, Indiana/Purdue Universities’ Institute of Pension Plan Management
• Frequent keynote speaker at national employee benefit conferences

An attorney (District of Columbia) and certified public accountant (New York-inactive), Brian was formerly Legislation Counsel to the US Congress Joint Committee on Taxation where he provided policy and technical analysis relating to pensions and employee benefits, health care and Social Security to members of Congress. While working for Congress,  Brian participated in the development of legislation, including the Small Business Job Protection Act of 1996 and the Health Insurance Portability and Accountability Act of 1996. Prior to working on Capitol Hill, Brian was associated with the Washington, DC, law firm, The Groom Law Group, which specializes in employee benefits.

Brian received his doctoral degree in law, cum laude, from the University of Pennsylvania Law School in Philadelphia. He holds a bachelor of science in accounting with distinction from Cornell University in Ithaca, NY.