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2022 Award Categories | Nomination Submission

Nothing beats a WealthManagement.com Industry Award for boosting morale with employees who appreciate working for a winning team – and for attracting elite advisors looking to move to one. If your nomination is selected as a 2022 Industry Awards Finalist, you’ll receive extraordinary exposure and publicity with the WealthManagement.com audience of 441,000 wealth management professionals.

And by attending our afternoon sessions and evening black-tie awards event on September 8th, you’ll meet and network with hundreds of other top innovators and industry thought leaders. You’ll also qualify to send a key member of your executive team to our day-of-event leadership panel and/or technology roundtable covered by our editors. This year, our awards program has been expanded to include more than 100 firm and individual categories, so there have never been more chances to win. Select the best match for your initiatives by reviewing our categories below and nominating a firm or organization that has shown exceptional performance over the past year. By submitting your nomination, you stand to increase the awareness and reputation of your company among 435,000 wealth management professionals who look to our awards as third-party validation of industry leadership.

NOMINATIONS ARE CLOSED

FINALISTS ANNOUNCED ONLINE JUNE 1, 2022 | WINNERS ANNOUNCED LIVE SEPTEMBER 8, 2022

Submit Your Nominations Today
2022 Categories
401(k) RETIREMENT PLAN SUPPORT & ADVISOR SERVICES ASSET MANAGERS BROKERS/DEALERS (1,000 Advisors or More) BROKERS/DEALERS (Fewer Than 1,000 Advisors) COMPLIANCE/LAW FIRMS CUSTODIANS DISTRUPTORS FAMILY OFFICES HEDGE FUNDS/PRIVATE EQUITY INDIVIDUAL RIA FIRM LEADERS INDUSTRY ASSOCIATIONS INDUSTRY RESEARCH PROVIDERS INSURANCE INVESTMENT BANKS/LENDERS/SUCCESSION PLANNING CONSULTANTS MARKETING/PR FIRMS NON‑CUSTODIAL RIA SUPPORT PLATFORMS PRIVATE EQUITY PROVIDERS SUCCESSION/OWNERSHIP TRANSITION SERVICES – NON-CUSTODIAN/BROKER/DEALER TAMPs TECHNOLOGY PROVIDERS TRUSTS

401(k) RETIREMENT PLAN SUPPORT & ADVISOR SERVICES

  • A new initiative, program, platform or industry content that facilitates retirement planning, preparation and funding through a service enhancement.
  • Initiatives can include areas such as new programs, educational campaigns, integrations, ongoing campaigns, service integrations, etc.
  • Criteria include both quantitative measures — such as specific feature set, usage, advisor survey scores, potential, scope, scale, etc., along with qualitative measures such as innovation, creativity, new methods of deployment, etc.
  • A new initiative, program, platform or industry content that facilitates retirement planning, preparation and funding through a technology enhancement.
  • Initiatives can include areas such as new programs, educational campaigns, integrations, technology tools, ongoing campaigns, integrations, etc.
  • Criteria include both quantitative measures — such as specific feature set, usage, advisor survey scores, potential, scope, scale, etc., along with qualitative measures such as innovation, creativity, new methods of deployment, etc.
  • A senior executive who has successfully led the growth of their firm through organic and M&A strategies, integration of wealth and retirement capabilities as well as revenue diversification.
  • Criteria include specific examples of firm and industry leadership, supporting initiatives that are driving change as well as external benchmarks such as business growth, thought leadership content development, industry activism, introduction of wealth and retirement planning programs, technology and similar.
  • A new initiative, product, program, platform or enhancement to an existing platform/product that enhances plan sponsors’ ability to bring together wealth and retirement planning for plan participants.
  • Initiatives can include areas such as new ways to introduce wealth advisors to plan sponsors and participants, integration of financial and wealth planning tools/technology, educational content and programs and similar.
  • Criteria include both quantitative measures, such as specific feature set, AUM goals, usage, adoption, scope, scale, advisor survey scores, etc., along with qualitative measures such as innovation, creativity, new methods of deployment, etc.
  • A new initiative, product, program, platform or enhancement to an existing platform/product that enables advisors to better service and market to retirement plan sponsors and participants.
  • Initiatives can include areas such as new technology features/functionality, thought leadership content, educational materials and programs, practice management capabilities, improved access to participant data, and similar.
  • Criteria include both quantitative measures, such as specific feature set, AUM goals, usage, adoption, scope, scale, advisor survey scores, etc., along with qualitative measures such as innovation, creativity, new methods of deployment, etc.
  • A new initiative, product, program, platform or enhancement to an existing platform/product that enables Retirement Plan Advisors to better serve plan participants and sponsors.
  • Initiatives can include areas such as new technology features/functionality, thought leadership content, educational materials and programs, improved access to participant data, financial planning tools and similar.
  • Criteria include both quantitative measures, such as specific feature set, AUM goals, usage, adoption, scope, scale, advisor survey scores, etc., along with qualitative measures such as innovation, creativity, new methods of deployment, etc.

ASSET MANAGERS

  • A new initiative or program, or an enhancement to an existing platform, that improves advisors’ understanding, usage and portfolio management of alternatives.
  • Initiatives can include areas such as research tools, practice management programs, wholesaler support, service improvements, technology enhancements, etc.
  • Criteria include quantitative measures — such as specific feature set, usage, adoption, scope, scale, advisor survey scores, etc. — along with qualitative measures such as innovation, creativity, new methods of deployment, etc.
  • A new initiative, product, program, platform or enhancement to an existing platform/product that facilitates clients’ financial, tax and investment planning for charitable purposes.
  • Initiatives can include areas such as new ways to integrate and implement Charitable Giving/Donor Advised Funds, new investment strategies, technology platforms, trading and reporting, as well as advisor education programs, and similar.
  • Criteria include both quantitative measures, such as specific feature set, AUM goals, usage, adoption, scope, scale, advisor survey scores, etc., along with qualitative measures such as innovation, creativity, new methods of deployment, etc.
  • An individual CEO of an Asset Manager who has demonstrated vision, creativity, integrity, leadership, communication skills, technology insight and high performance in leading all aspects of a wealth management technology provider that helps advisors succeed.
  • Criteria include demonstrable impact on their firm, the industry, and wealth management in general; external benchmarks such as business excellence, revenues, profitability, business growth, thought leadership content, industry activism; as well as a strong track record of industry respect, notoriety and promoting diversity.
  • An individual chief marketing officer (CMO) of an Asset Manager who has demonstrated vision, creativity, integrity, leadership, communication skills, leadership prowess and high performance in enhancing the firm’s brand, generating new business and expanding the firm’s product and service set this past year.
  • Criteria include demonstrable impact on their firm, the industry, and wealth management in general; external benchmarks such as new product roll outs, marketing campaigns, business growth, thought leadership content development, industry activism, leadership development; as well as industry respect, notoriety and promoting diversity.
  • An individual chief technology officer (CTO) of an Asset Manager who has demonstrated vision, integrity, leadership, technical prowess and high performance in leading their firm through new challenges and opportunities this past year.
  • Criteria include demonstrable impact on their firm, the industry, and wealth management in general; external benchmarks such as new products/platforms brought to market, thought leadership content development, industry activism, user surveys, leadership development; as well as industry respect, notoriety and promoting diversity.
  • A new initiative, service offering, program, platform or enhancement to an existing platform/product that enhances advisors and/or their clients’ education and usage of investment management products and services.
  • Initiatives can include areas such as technology deployments, practice management programs, wholesaler professionalization programs, internal support desks, investment specialists, onboarding technology, new features, expanded functionality, components, etc.
  • Criteria include both quantitative measures — such as specific feature set, usage, adoption, scope, scale, advisor survey scores, etc. — along with qualitative measures such as innovation, creativity, new methods of deployment, etc.
  • A new initiative, program, platform, charity, environmentally responsible, or industry content that will enhance the industry’s image, give back to the community, improve society as well as promote diversity and the next generation of advisors.
  • Initiatives can include areas such as diversity programs, charitable endeavors, women’s initiatives, training programs, etc.
  • Criteria include both quantitative measures — such as specific feature set, usage, potential, scope, scale, etc. along with qualitative measures such as innovation, creativity, new methodologies, etc.
  • A new marketing, lead generation, nurturing or brand building campaign, or enhancement to an existing campaign; that leverages integrated digital channels, including social media, to deliver the firm’s message with compelling call to action.
  • Criteria include direct business results such as leads generated, new clients converted, incremental revenues booked, enhanced closing rates, increased share of existing client wallet, etc., as well as subjective measures of creativity, imagination and new ways to leverage digital channels to deliver a compelling marketing message.
  • A new program, initiative, platform or enhancement to an existing program/platform/initiative designed to promote diversity, equity, and inclusion in the wealth management industry, such as educational and training programs, company and industry events, peer support groups, executive and career networks, student and employee recruiting programs, professional development opportunities, etc.
  • Criteria include direct measurable results such scope, scale, adoption and usage, as well as subjective measures of creativity, imagination and new ways to encourage and promote diversity, equity and inclusion.
  • A new initiative or program, or an enhancement to an existing platform, that improves advisors’ understanding, usage and portfolio management of equities.
  • Initiatives can include areas such as research tools, practice management programs, wholesaler support, service improvements, technology enhancements, etc.
  • Criteria include quantitative measures — such as specific feature set, usage, adoption, scope, scale, advisor survey scores, etc. — along with qualitative measures such as innovation, creativity, new methods of deployment, etc.
  • A new initiative or program, or an enhancement to an existing platform, that improves advisors’ understanding, usage and portfolio management of ETF Strategists.
  • Initiatives can include areas such as research tools, practice management programs, wholesaler support, service improvements, technology enhancements, etc.
  • Criteria include quantitative measures — such as specific feature set, usage, adoption, scope, scale, advisor survey scores, etc. — along with qualitative measures such as innovation, creativity, new methods of deployment, etc.
  • A new initiative or program, or an enhancement to an existing platform, that improves advisors’ understanding, usage and portfolio management of ETFs.
  • Initiatives can include areas such as research tools, practice management programs, wholesaler support, service improvements, technology enhancements, etc.
  • Criteria include quantitative measures — such as specific feature set, usage, adoption, scope, scale, advisor survey scores, etc. — along with qualitative measures such as innovation, creativity, new methods of deployment, etc.
  • A new initiative or program, or an enhancement to an existing platform, that improves advisors’ understanding, usage and portfolio management of fixed income.
  • Initiatives can include areas such as research tools, practice management programs, wholesaler support, service improvements, technology enhancements, etc.
  • Criteria include quantitative measures — such as specific feature set, usage, adoption, scope, scale, advisor survey scores, etc. — along with qualitative measures such as innovation, creativity, new methods of deployment, etc.
  • A new initiative, product, program, platform or enhancement to an existing platform/product that facilitates advisor usage of model marketplaces.
  • Initiatives can include areas such as new ways to process transactions, new technology deployments, enhanced access to investment strategies, enhanced reporting, tracking, and cost efficiencies.
  • Criteria include both quantitative measures — such as specific feature set, usage, adoption, scope, scale, advisor survey scores, etc. — along with qualitative measures such as innovation, creativity, new methods of deployment, etc.
  • A new product, service offering, platform or enhancement to an existing platform/product that enhances and expands advisors’ access to investment management products/services for managing risk, volatility, access to asset classes, portfolio construction innovation, etc.
  • Initiatives can include areas such as new fund structures, pricing models, asset classes, portfolio management components, etc.
  • Criteria include both quantitative measures — such as specific feature set, usage, adoption, scope, scale, advisor survey scores, etc. — along with qualitative measures such as innovation, creativity, new methods of deployment, etc.
  • A new initiative or program, or an enhancement to an existing platform, that improves advisors’ understanding, usage and portfolio management of real estate investments.
  • Initiatives can include areas such as research tools, practice management programs, wholesaler support, service improvements, technology enhancements, etc.
  • Criteria include quantitative measures — such as specific feature set, usage, adoption, scope, scale, advisor survey scores, etc. — along with qualitative measures such as innovation, creativity, new methods of deployment, etc.
  • A new initiative or program, or an enhancement to an existing platform, that improves advisors’ understanding, usage and portfolio management of separate accounts.
  • Initiatives can include areas such as research tools, practice management programs, wholesaler support, service improvements, technology enhancements, etc.
  • Criteria include quantitative measures — such as specific feature set, usage, adoption, scope, scale, advisor survey scores, etc. — along with qualitative measures such as innovation, creativity, new methods of deployment, etc.
  • A new initiative, product, program, platform or industry content that facilitates the advisors’ use of SRI or social impact investing.
  • Initiatives including areas such as new programs, products, educational campaigns, integrations, technology tools, ongoing campaigns, service integrations, etc.
  • Criteria include both quantitative measures — such as specific feature set, usage, advisor survey scores, potential, scope, scale, etc., along with qualitative measures such as innovation, creativity, new methods of deployment, etc.
  • A new initiative, program, and industry content providing original content, research or conclusions about investing themes to move the industry forward, enhance advisors with a better understanding of investing themes, new products, etc.
  • Initiatives can include areas such as white papers, industry research, commentary and other content to help drive industry understanding and awareness of investing themes, diversity programs, women’s initiatives, next generation of advisor/client, succession planning solutions, etc.
  • Criteria include both quantitative measures — such as specific feature set, usage, potential, scope, scale, etc., along with qualitative measures such as innovation, creativity, new methods of deployment, etc.
  • A new initiative, program, product, or platform that will move the industry forward.
  • Initiatives can include areas such as new products, technology tools, research platforms, etc.
  • Criteria include both quantitative measures — such as specific feature set, usage, potential, scope, scale, etc., along with qualitative measures such as innovation, creativity, new methods of deployment, etc.

BROKERS/DEALERS (1,000 Advisors or More)

  • An individual CEO of a Broker/Dealer who has demonstrated vision, creativity, integrity, leadership, communication skills, technology insight and high performance in leading all aspects of a wealth management technology provider that helps advisors succeed.
  • Criteria include demonstrable impact on their firm, the industry, and wealth management in general; external benchmarks such as business excellence, revenues, profitability, business growth, thought leadership content, industry activism; as well as a strong track record of industry respect, notoriety and promoting diversity.
  • An individual chief marketing officer (CMO) of a Broker/Dealer who has demonstrated vision, creativity, integrity, leadership, communication skills, leadership prowess and high performance in enhancing the firm’s brand, generating new business and expanding the firm’s product and service set this past year.
  • Criteria include demonstrable impact on their firm, the industry, and wealth management in general; external benchmarks such as new product roll outs, marketing campaigns, business growth, thought leadership content development, industry activism, leadership development; as well as industry respect, notoriety and promoting diversity.
  • An individual chief technology officer (CTO) of a Broker/Dealer who has demonstrated vision, integrity, leadership, technical prowess and high performance in leading their firm through new challenges and opportunities this past year.
  • Criteria include demonstrable impact on their firm, the industry, and wealth management in general; external benchmarks such as new products/platforms brought to market, thought leadership content development, industry activism, user surveys, leadership development; as well as industry respect, notoriety and promoting diversity.
  • A new initiative, program, platform, charity, environmentally responsible, or industry content that will enhance the industry’s image, give back to the community, improve society as well as promote diversity and the next generation of advisors.
  • Initiatives can include areas such as diversity programs, charitable endeavors, women’s initiatives, training programs, etc.
  • Criteria include both quantitative measures — such as specific feature set, usage, potential, scope, scale, etc. along with qualitative measures such as innovation, creativity, new methodologies, etc.
  • A new marketing, lead generation, nurturing or brand building campaign, or enhancement to an existing campaign; that leverages integrated digital channels, including social media, to deliver the firm’s message with compelling call to action.
  • Criteria include direct business results such as leads generated, new clients converted, incremental revenues booked, enhanced closing rates, increased share of existing client wallet, etc., as well as subjective measures of creativity, imagination and new ways to leverage digital channels to deliver a compelling marketing message.
  • A new program, initiative, platform or enhancement to an existing program/platform/initiative designed to promote diversity, equity, and inclusion in the wealth management industry, such as educational and training programs, company and industry events, peer support groups, executive and career networks, student and employee recruiting programs, professional development opportunities, etc.
  • Criteria include direct measurable results such scope, scale, adoption and usage, as well as subjective measures of creativity, imagination and new ways to encourage and promote diversity, equity and inclusion.
  • A new initiative, program, or enhancement to an existing platform that helps B/D advisors manage a better business.
  • Initiatives can include the various practice management areas such as marketing services/support, sales process, succession planning, human capital, organizational structures, business planning/strategy, compensation plans, benchmarking, compliance, etc.
  • Criteria include quantitative measures — such as scope, scale, adoption, usage, feature set, advisor survey scores, etc. — along with qualitative measures such as innovation, creativity, new methods of delivery, etc.
  • A new initiative, program, or enhancement to an existing service platform that helps support BD advisors and their clients.
  • Initiatives can include areas such as training programs, dedicated personnel, multichannel availability, new capabilities, process improvements, service availability, ease of use, new capabilities, tiered service, self-service, etc.
  • Criteria include quantitative measures — such as specific support levels, scope, scale, advisor/client survey scores, usage, etc. — along with qualitative measures such as innovation, creativity, new methods of delivery, etc.
  • A new initiative, program, or enhancement to an existing platform that helps B/D advisors to be more efficient and enhances the advisor and client experience though technology.
  • Initiatives can include areas such as new cloud platforms, mobile apps, driving adoption of existing technologies, streamlining various processes, integrating multiple systems, user interface improvements, process speed improvements, ease of use, new capabilities, new features, customizations, etc.
  • Criteria include quantitative measures — such as scope, scale, adoption, usage, feature set, etc. — along with qualitative measures such as innovation, creativity, new methods of delivery, etc.
  • A new initiative, program, platform or industry content that will move the industry forward.
  • Initiatives can include areas such as diversity programs, women’s initiatives, next generation of advisor/client, succession planning solutions, etc.
  • Criteria include both quantitative measures — such as specific feature set, usage, potential, scope, scale, etc., along with qualitative measures such as innovation, creativity, new methods of deployment, etc.
  • A new initiative, program or enhancement to an existing Transition platform that helps BDs onboard new advisors.
  • Initiatives can include areas such as dedicated professionals, easy to use transition tools/resources, process improvements, speed of onboarding, client communications, etc.
  • Criteria include both quantitative measures — such as specific support levels, scope, scale, advisor/client survey scores, usage, etc. — along with qualitative measures such as innovation, creativity, new methods of delivery, etc.

BROKERS/DEALERS (Fewer Than 1,000 Advisors)

  • An individual CEO of a Broker/Dealer who has demonstrated vision, creativity, integrity, leadership, communication skills, technology insight and high performance in leading all aspects of a wealth management technology provider that helps advisors succeed.
  • Criteria include demonstrable impact on their firm, the industry, and wealth management in general; external benchmarks such as business excellence, revenues, profitability, business growth, thought leadership content, industry activism; as well as a strong track record of industry respect, notoriety and promoting diversity.
  • An individual chief marketing officer (CMO) of a Broker/Dealer who has demonstrated vision, creativity, integrity, leadership, communication skills, leadership prowess and high performance in enhancing the firm’s brand, generating new business and expanding the firm’s product and service set this past year.
  • Criteria include demonstrable impact on their firm, the industry, and wealth management in general; external benchmarks such as new product roll outs, marketing campaigns, business growth, thought leadership content development, industry activism, leadership development; as well as industry respect, notoriety and promoting diversity.
  • An individual chief technology officer (CTO) of a Broker/Dealer who has demonstrated vision, integrity, leadership, technical prowess and high performance in leading their firm through new challenges and opportunities this past year.
  • Criteria include demonstrable impact on their firm, the industry, and wealth management in general; external benchmarks such as new products/platforms brought to market, thought leadership content development, industry activism, user surveys, leadership development; as well as industry respect, notoriety and promoting diversity.
  • A new initiative, program, platform, charity, environmentally responsible, or industry content that will enhance the industry’s image, give back to the community, improve society as well as promote diversity and the next generation of advisors.
  • Initiatives can include areas such as diversity programs, charitable endeavors, women’s initiatives, training programs, etc.
  • Criteria include both quantitative measures — such as specific feature set, usage, potential, scope, scale, etc. along with qualitative measures such as innovation, creativity, new methodologies, etc.
  • A new marketing, lead generation, nurturing or brand building campaign, or enhancement to an existing campaign; that leverages integrated digital channels, including social media, to deliver the firm’s message with compelling call to action.
  • Criteria include direct business results such as leads generated, new clients converted, incremental revenues booked, enhanced closing rates, increased share of existing client wallet, etc., as well as subjective measures of creativity, imagination and new ways to leverage digital channels to deliver a compelling marketing message.
  • A new program, initiative, platform or enhancement to an existing program/platform/initiative designed to promote diversity, equity, and inclusion in the wealth management industry, such as educational and training programs, company and industry events, peer support groups, executive and career networks, student and employee recruiting programs, professional development opportunities, etc.
  • Criteria include direct measurable results such scope, scale, adoption and usage, as well as subjective measures of creativity, imagination and new ways to encourage and promote diversity, equity and inclusion.
  • A new initiative, program, or enhancement to an existing platform that helps B/D advisors manage a better business.
  • Initiatives can include the various practice management areas such as marketing services/support, sales process, succession planning, human capital, organizational structures, business planning/strategy, compensation plans, benchmarking, compliance, etc.
  • Criteria include quantitative measures — such as scope, scale, adoption, usage, feature set, advisor survey scores, etc. — along with qualitative measures such as innovation, creativity, new methods of delivery, etc.
  • A new initiative, program, or enhancement to an existing service platform that helps support BD advisors and their clients.
  • Initiatives can include areas such as training programs, dedicated personnel, multichannel availability, new capabilities, process improvements, service availability, ease of use, new capabilities, tiered service, self-service, etc.
  • Criteria include quantitative measures — such as specific support levels, scope, scale, advisor/client survey scores, usage, etc. — along with qualitative measures such as innovation, creativity, new methods of delivery, etc.
  • A new initiative, program, or enhancement to an existing platform that helps B/D advisors to be more efficient and enhances the advisor and client experience though technology.
  • Initiatives can include areas such as new cloud platforms, mobile apps, driving adoption of existing technologies, streamlining various processes, integrating multiple systems, user interface improvements, process speed improvements, ease of use, new capabilities, new features, customizations, etc.
  • Criteria include quantitative measures — such as scope, scale, adoption, usage, feature set, etc. — along with qualitative measures such as innovation, creativity, new methods of delivery, etc.
  • A new initiative, program, platform or industry content that will move the industry forward.
  • Initiatives can include areas such as diversity programs, women’s initiatives, next generation of advisor/client, succession planning solutions, etc.
  • Criteria include both quantitative measures — such as specific feature set, usage, potential, scope, scale, etc., along with qualitative measures such as innovation, creativity, new methods of deployment, etc.
  • A new initiative, program or enhancement to an existing Transition platform that helps BDs onboard new advisors.
  • Initiatives can include areas such as dedicated professionals, easy to use transition tools/resources, process improvements, speed of onboarding, client communications, etc.
  • Criteria include both quantitative measures — such as specific support levels, scope, scale, advisor/client survey scores, usage, etc. — along with qualitative measures such as innovation, creativity, new methods of delivery, etc.

COMPLIANCE/LAW FIRMS

  • A new initiative, program, platform or industry content that facilitates the compliance process and simplifies regulatory complexity.
  • Initiatives can include areas such as new programs, educational campaigns, integrations, technology tools, ongoing campaigns, service integrations, etc.
  • Criteria include both quantitative measures — such as specific feature set, usage, advisor survey scores, potential, scope, scale, etc., along with qualitative measures such as innovation, creativity, new methods of deployment, etc.

CUSTODIANS

  • A new initiative, program, platform or industry content that facilitates how advisors manage, report and advise clients with alternative assets.
  • Initiatives can include areas such as new programs, educational campaigns, integrations, technology tools, ongoing campaigns, service integrations, etc.
  • Criteria include both quantitative measures — such as specific feature set, usage, advisor survey scores, potential, scope, scale, etc., along with qualitative measures such as innovation, creativity, new methods of deployment, etc.
  • An individual chief marketing officer (CMO) of a Custodian who has demonstrated vision, creativity, integrity, leadership, communication skills, leadership prowess and high performance in enhancing the firm’s brand, generating new business and expanding the firm’s product and service set this past year.
  • Criteria include demonstrable impact on their firm, the industry, and wealth management in general; external benchmarks such as new product roll outs, marketing campaigns, business growth, thought leadership content development, industry activism, leadership development; as well as industry respect, notoriety and promoting diversity.
  • An individual chief technology officer (CTO) of a Custodian who has demonstrated vision, integrity, leadership, technical prowess and high performance in leading their firm through new challenges and opportunities this past year.
  • Criteria include demonstrable impact on their firm, the industry, and wealth management in general; external benchmarks such as new products/platforms brought to market, thought leadership content development, industry activism, user surveys, leadership development; as well as industry respect, notoriety and promoting diversity.
  • A new initiative, program, platform, charity, environmentally responsible, or industry content that will enhance the industry’s image, give back to the community, improve society as well as promote diversity and the next generation of advisors.
  • Initiatives can include areas such as diversity programs, charitable endeavors, women’s initiatives, training programs, etc.
  • Criteria include both quantitative measures — such as specific feature set, usage, potential, scope, scale, etc. along with qualitative measures such as innovation, creativity, new methodologies, etc.
  • A new marketing, lead generation, nurturing or brand building campaign, or enhancement to an existing campaign; that leverages integrated digital channels, including social media, to deliver the firm’s message with compelling call to action.
  • Criteria include direct business results such as leads generated, new clients converted, incremental revenues booked, enhanced closing rates, increased share of existing client wallet, etc., as well as subjective measures of creativity, imagination and new ways to leverage digital channels to deliver a compelling marketing message.
  • A new program, initiative, platform or enhancement to an existing program/platform/initiative designed to promote diversity, equity, and inclusion in the wealth management industry, such as educational and training programs, company and industry events, peer support groups, executive and career networks, student and employee recruiting programs, professional development opportunities, etc.
  • Criteria include direct measurable results such scope, scale, adoption and usage, as well as subjective measures of creativity, imagination and new ways to encourage and promote diversity, equity and inclusion.
  • A new initiative, program, or enhancement to an existing platform that helps RIA advisors manage a better business.
  • Initiatives can include the various practice management areas such as marketing services/support, sales process, succession planning, human capital, organizational structures, business planning/strategy, compensation plans, benchmarking, compliance, etc.
  • Criteria include quantitative measures — such as scope, scale, adoption, usage, feature set, advisor survey scores, etc. — along with qualitative measures such as innovation, creativity, new methods of delivery, etc.
  • A new initiative or program, or an enhancement to an existing platform, that helps RIAs be more efficient and enhances the advisor and client experience though technology.
  • Initiatives can include areas such as new cloud platforms, mobile apps, driving adoption of existing technologies, streamlining various processes, integrating multiple systems, user interface improvements, process speed improvements, ease of use, new capabilities, new features, customizations, etc.
  • Criteria include quantitative measures — such as scope, scale, adoption, usage, feature set, advisor survey scores, etc. — along with qualitative measures such as innovation, creativity, new methods of delivery, etc.
  • A new initiative, program, platform or industry content that will move the industry forward.
  • Initiatives can include areas such as diversity programs, women’s initiatives, next generation of advisor/client, succession planning solutions, etc.
  • Criteria include both quantitative measures — such as specific feature set, usage, potential, scope, scale, etc., along with qualitative measures such as innovation, creativity, new methods of deployment, etc.
  • A new initiative or program, or an enhancement to an existing Transition platform, that helps RIAs onboard their clients and business to a new or different custodian.
  • Initiatives can include areas such as dedicated professionals, easy to use transition tools/resources, process improvements, speed of onboarding, client communications, etc.
  • Criteria include quantitative measures — such as specific support levels, scope, scale, advisor/client survey scores, usage, etc. — along with qualitative measures such as innovation, creativity, new methods of delivery, etc.

DISTRUPTORS

  • A new innovation or category that will change how wealth management is delivered in the future.
  • Initiatives can include areas such as technology innovation, process enhancements, new methods of delivery, etc.
  • Criteria include both quantitative measures — such as specific feature set, usage, potential, scope, scale, etc., along with qualitative measures such as innovation, creativity, new methods of deployment, etc.
  • A new technology innovation or category that will change how wealth management is delivered in the future.
  • Initiatives can include areas such as technology innovation, process enhancements, new methods of delivery, etc.
  • Criteria include both quantitative measures — such as specific feature set, usage, potential, scope, scale, etc., along with qualitative measures such as innovation, creativity, new methods of deployment, etc.

FAMILY OFFICES

  • A new initiative, program, platform or industry content that enhances the family office client experience.
  • Initiatives can include areas such as technology deployments, educational programs, client-facing technologies, reporting tools, next generation of advisor/client, etc.
  • Criteria include both quantitative measures — such as specific feature set, usage, potential, scope, scale, etc., along with qualitative measures such as innovation, creativity, new methods of deployment, etc.
  • A new initiative, program, platform or industry content that will move the industry forward.
  • Initiatives can include areas such as diversity programs, women’s initiatives, next generation of advisor/client, succession planning solutions, etc.
  • Criteria include both quantitative measures — such as specific feature set, usage, potential, scope, scale, etc., along with qualitative measures such as innovation, creativity, new methods of deployment, etc.

HEDGE FUNDS/PRIVATE EQUITY

  • A new initiative program, product, platform or industry content that facilitates advisors use of private placements/hedge funds/private equity funds.
  • Initiatives can include areas such as new programs, products, educational campaigns, integrations, technology tools, ongoing campaigns, service integrations, etc.
  • Criteria include both quantitative measures — such as specific feature set, usage, advisor survey scores, potential, scope, scale, etc., along with qualitative measures such as innovation, creativity, new methods of deployment, etc.

INDIVIDUAL RIA FIRM LEADERS

  • An individual chief executive officer (CEO) of an independent Registered Investment Advisory (RIA) firm who has demonstrated courage, vision, integrity and high performance in leading their firm through new challenges and opportunities this past year.
  • Criteria include demonstrable impact on their firm, the industry, and wealth management in general; external benchmarks such as customer value, business equity, generating shareholder value; employee engagement, leadership development; as well as industry respect, notoriety and promoting diversity.
  • An individual chief marketing officer (CMO) of a financial advisory firm who has demonstrated vision, creativity, integrity, leadership, communication skills, messaging expertise, marketing prowess and high performance in enhancing the firm’s brand, generating new business and expanding the firm’s product and service set this past year.
  • Criteria include demonstrable impact on their firm, the industry, and wealth management in general; external benchmarks such as marketing campaigns, business growth, thought leadership content development, industry activism, leadership development; as well as industry respect, notoriety and promoting diversity.
  • An individual chief technology officer (CTO) of an independent RIA firm who has demonstrated vision, integrity, leadership, technical prowess and high performance in leading their firm through new technology challenges and opportunities this past year.
  • Criteria include demonstrable impact on their firm, the industry, and wealth management in general; external benchmarks such as new products/platforms deployed, innovation, thought leadership content development, industry activism, leadership development; as well as industry respect, notoriety and promoting diversity.
  • An individual executive leader (not limited to CEOs) of an independent Registered Investment Advisory (RIA) firm who has led the development of new initiatives or enhancements to existing programs to help advisors run a better business, enhance service to clients, change how advice is delivered and help transform the wealth management industry for the better this past year.
  • Initiatives include areas such as new technology approaches, platforms, and product development; new operating models to target underserved markets, new methods of recruiting / onboarding advisors, new client service models, new advice delivery approaches, etc.
  • Criteria include both quantitate measures such as program features, usage, potential to change the industry and existing business practices, scope, scale, along with qualitative measures such as creativity, new practice standards, etc.
  • An individual executive leader (not limited to CEOs) of an independent Registered Investment Advisory (RIA) firm who has successfully led the growth of their firm through inorganic strategies such as mergers, acquisitions and joint ventures this past year.
  • Criteria include demonstrable impact on their firm; financial gains; negotiating success, operational excellence in integrating merged/acquired firms; external benchmarks such as number of deals completed, total AUM acquired/merged, business value created, etc.
  • A next generation individual advisor and/or executive of a financial advisory firm who has demonstrated vision, creativity, integrity, leadership and high performance in making an impact on their firm, the industry and wealth management in general this past year.
  • Criteria include specific examples of firm and industry leadership, supporting initiatives that are driving change as well as external benchmarks such as business growth, thought leadership content development, industry activism, and similar.
  • An individual executive leader (not limited to CEOs) of an independent Registered Investment Advisory (RIA) firm who has designed and promoted programs, products, and content that will move the industry forward this past year.
  • Initiatives include areas such as new management methods, investor research, diversity programs, promoting the next generation of advisor, succession planning, practice management content and other industry defining programs and content
  • Criteria include both quantitate measures such as program or idea features, usage, potential to change the industry and existing business practices, scope, scale, along with qualitative measures such as creativity, new practice standards, etc.

INDUSTRY ASSOCIATIONS

  • A new initiative, program, platform or industry content that facilitates advisor success, attracts new members, delivers on the association’s mission.
  • Initiatives can include areas such as new programs, educational campaigns, integrations, technology tools, ongoing campaigns, service integrations, etc.
  • Criteria include both quantitative measures — such as specific feature set, usage, advisor survey scores, potential, scope, scale, growth, etc., along with qualitative measures such as innovation, creativity, new methods of deployment, etc.

INDUSTRY RESEARCH PROVIDERS

  • A new initiative, product, program, or enhancement to an existing research capability that enhances advisor’s ability to run a better business, better understand industry trends, enhance client service and push the industry forward.
  • Criteria include both quantitative measures — such as specific feature set, usage, adoption, scope, scale, advisor survey scores, etc. — along with qualitative measures such as innovation, creativity, new methods of deployment, etc.

INSURANCE

  • A new initiative, program or an enhancement to an existing service platform than improves advisors understanding, usage and management of insurance programs/products/platforms.
  • Initiatives can include areas such as product enhancements, new products, research tools, practice management programs, wholesaler support, service improvements, etc.
  • Criteria include both quantitative measures — such as scope, scale, usage, adoption, advisor survey scores, etc. along with qualitative measures such as innovation, creativity, new methods of deployment, etc.
  • A new initiative, program or an enhancement to an existing technology platform than improves advisors understanding, usage and management of insurance programs/products/platforms.
  • Initiatives can include areas such as research tools, practice management programs, wholesaler support, service improvements, technology enhancements, integrations, etc.
  • Criteria include both quantitative measures — such as scope, scale, usage, adoption, advisor survey scores, etc. along with qualitative measures such as innovation, creativity, new methods of deployment, etc.

INVESTMENT BANKS/LENDERS/SUCCESSION PLANNING CONSULTANTS

  • A new initiative, program, platform or industry content that facilitates the succession/transition process for advisors and their businesses.
  • Initiatives can include areas such as new financing programs, integrations, tools, valuation services, ongoing campaigns, service integrations, etc.
  • Criteria include both quantitative measures — such as specific feature set, usage, advisor survey scores, potential, scope, scale, etc., along with qualitative measures such as innovation, creativity, new methods of deployment, etc.

MARKETING/PR FIRMS

  • A new marketing, lead generation, nurturing or brand building campaign, or enhancement to an existing campaign; that leverages integrated digital channels to deliver the firm’s message with compelling call to action.
  • Criteria include direct business results such as leads generated, new clients converted, incremental revenues booked, enhanced closing rates, increased share of existing client wallet, etc., as well as subjective measures of creativity, imagination and new ways to leverage digital channels to deliver a compelling marketing message.
  • A new marketing, lead generation, or brand building campaign that leverages PR to gain coverage in local/national publications, TV and online/social media, or an extension/update to an existing campaign; that delivers a compelling message to a targeted audience to educate, inform, engage, and inspire with a compelling call to action.
  • Criteria include direct business results such as leads generated, brand mentions, new clients converted, incremental revenues booked, enhanced closing rates, increased share of existing client wallet, etc., as well as subjective measures of creativity, imagination and new ways to leverage PR to deliver a compelling marketing message.

NON‑CUSTODIAL RIA SUPPORT PLATFORMS

  • A new initiative, program or an enhancement to an existing platform than improves advisors understanding, usage and benefits from firms that provide RIA support services, financing, acquisition support, and similar platforms.
  • Initiatives can include areas such as research tools, practice management programs, advisor support, service improvements, technology enhancements, etc.
  • Criteria include both quantitative measures — such as scope, scale, usage, adoption, advisor survey scores, etc. along with qualitative measures such as innovation, creativity, new methods of deployment, etc.

PRIVATE EQUITY PROVIDERS

  • A new initiative, product, program, platform or enhancement to an existing platform/product designed to facilitate advisor growth, succession, talent acquisition, M&A and other practice band business management objectives.
  • Initiatives can include areas such as new ways to deploy capital through advisory and broker-dealer firms, deal structures, product terms, target markets and similar.
  • Criteria include both quantitative measures — such as specific feature set, usage, adoption, scope, scale, advisor survey scores, etc. — along with qualitative measures such as innovation, creativity, new methods of deployment, etc.

SUCCESSION/OWNERSHIP TRANSITION SERVICES – NON-CUSTODIAN/BROKER/DEALER

  • A new initiative, program, platform, technology or industry content that will prepare advisors for succession, enhance ownership transitions, and financing options, as well as nurture the next generation of advisor.
  • Initiatives can include areas such as educational programs, technology tools, valuation analyses, financing programs, training programs, etc.
  • Criteria include both quantitative measures — such as specific feature set, usage, potential, scope, scale, etc. along with qualitative measures such as innovation, creativity, new methodologies of delivery, etc.

TAMPs

  • A new initiative, product, program, platform or enhancement to an existing platform/product that facilitates advisor usage of model marketplaces.
  • Initiatives can include areas such as new ways to process transactions, new technology deployments, enhanced access to investment strategies, enhanced reporting, tracking, and cost efficiencies.
  • Criteria include both quantitative measures — such as specific feature set, usage, adoption, scope, scale, advisor survey scores, etc. — along with qualitative measures such as innovation, creativity, new methods of deployment, etc.
  • A new initiative or program, or an enhancement to an existing platform, that improves advisors’ understanding, usage and portfolio management via a TAMP model.
  • Initiatives can include areas such as research tools, practice management programs, wholesaler support, service improvements, technology enhancements, etc.
  • Criteria include quantitative measures — such as scope, scale, adoption, usage, feature set, advisor survey scores, etc. — along with qualitative measures such as innovation, creativity, new methods of employment, etc.

TECHNOLOGY PROVIDERS

  • A new product or platform, or an enhancement to an existing product or platform, that enhances advisors’ ability to efficiently and accurately aggregate client holdings.
  • Initiatives can include areas such as new cloud versions, mobile apps, workflow tools, integrations with other systems, client portals, reporting improvements, business intelligence, etc.
  • Criteria include quantitative measures — such as specific feature set, usage, adoption, scope, scale, advisor survey scores, etc. — along with qualitative measures such as innovation, creativity, new methods of deployment, etc.
  • A new initiative, product, program, platform or enhancement to an existing platform/product that facilitates trading, research, processing, reporting and tracking of alternative investments.
  • Initiatives can include areas such as new ways to process transactions digitally, access due diligence services, reporting, tracking, inventories of alternative investments.
  • Criteria include both quantitative measures — such as specific feature set, usage, adoption, scope, scale, advisor survey scores, etc. — along with qualitative measures such as innovation, creativity, new methods of deployment, etc.
  • A new initiative, product, program, platform or enhancement to an existing platform/product designed to integrate aspects of Artificial Intelligence into an advisor’s operations, investment process, financial planning services, as well as other aspects of a financial advisory business.
  • Initiatives can include areas such as machine learning, Robotic Process Automation (RPA), natural language processing, neural networks, etc.
  • Criteria include both quantitative measures — such as specific feature set, usage, adoption, scope, scale, advisor survey scores, etc. — along with qualitative measures such as innovation, creativity, new methods of deployment, etc.
  • A new initiative, product, program, platform or enhancement to an existing platform/product designed to enable advisors to streamline, integrate and automate business and operational workflows and tasks.
  • Initiatives can include areas such as new forms automation platforms, data management tools, Artificial Intelligence (AI) tools, technology integration frameworks, API’s and similar.
  • Criteria include both quantitative measures — such as specific feature set, usage, adoption, scope, scale, advisor survey scores, etc. — along with qualitative measures such as innovation, creativity, new methods of deployment, etc.
  • A new initiative, product, program, platform or enhancement to an existing platform/product that enhances advisor’s ability to optimize yields from cash holdings for clients
  • Initiatives can include areas such as new ways to integrate bank products, increase access to high yielding rates, more efficient sweep accounts, leveraging technology to drive efficiencies across the advisor technology stack, including new features, functionality, new components, etc.
  • Criteria include both quantitative measures — such as specific feature set, usage, adoption, scope, scale, advisor survey scores, etc. — along with qualitative measures such as innovation, creativity, new methods of deployment, etc.
  • An individual CEO of a technology provider who has demonstrated vision, creativity, integrity, leadership, communication skills, technology insight and high performance in leading all aspects of a wealth management technology provider that helps advisors succeed.
  • Criteria include demonstrable impact on their firm, the industry, and wealth management in general; external benchmarks such as business excellence, revenues, profitability, business growth, thought leadership content, industry activism; as well as a strong track record of industry respect, notoriety and promoting diversity.
  • An individual chief marketing officer (CMO) of a technology provider who has demonstrated vision, creativity, integrity, leadership, communication skills, leadership prowess and high performance in enhancing the firm’s brand, generating new business and expanding the firm’s product and service set this past year.
  • Criteria include demonstrable impact on their firm, the industry, and wealth management in general; external benchmarks such as new product roll outs, marketing campaigns, business growth, thought leadership content development, industry activism, leadership development; as well as industry respect, notoriety and promoting diversity.
  • An individual chief technology officer (CTO) of a technology provider who has demonstrated vision, integrity, leadership, technical prowess and high performance in leading their firm through new challenges and opportunities this past year.
  • Criteria include demonstrable impact on their firm, the industry, and wealth management in general; external benchmarks such as new products/platforms brought to market, thought leadership content development, industry activism, user surveys, leadership development; as well as industry respect, notoriety and promoting diversity.
  • A new initiative, product, program, platform or enhancement to an existing platform/product designed to streamline and automate the workflows for signing up new clients and opening new accounts.
  • Initiatives can include areas such as new ways to integrate digital signatures, workflow automation tools, elimination of manual paperwork, automatic forms filling, document management and data population, application integration, etc.
  • Criteria include both quantitative measures — such as specific feature set, usage, adoption, scope, scale, advisor survey scores, etc. — along with qualitative measures such as innovation, creativity, new methods of deployment, etc.
  • A new product or platform, or an enhancement to an existing product or platform, that enhances advisors’ ability to interact online with clients, deliver personalized communications, store documents, and report in real time on client holding.
  • Initiatives can include areas such as new cloud versions, mobile apps, workflow tools, document vaults, integrations with other systems, reporting improvements, business intelligence, etc.
  • Criteria include quantitative measures — such as specific feature set, usage, adoption, scope, scale, advisor survey scores, etc. — along with qualitative measures such as innovation, creativity, new methods of deployment, etc.
  • A new product or platform, or an enhancement to an existing product or platform, that enhances advisors’ ability to manage compliance requirements and mandates.
  • Initiatives can include areas such as new cloud versions, mobile apps, workflow tools, integrations with other systems, reporting improvements, security tools, audit ability, business intelligence, etc.
  • Criteria include quantitative measures — such as specific feature set, usage, adoption, scope, scale, advisor survey scores, etc. — along with qualitative measures such as innovation, creativity, new methods of deployment, etc.
  • A new initiative, program, platform, charity, environmentally responsible, or industry content that will enhance the industry’s image, give back to the community, improve society as well as promote diversity and the next generation of advisors.
  • Initiatives can include areas such as diversity programs, charitable endeavors, women’s initiatives, training programs, etc.
  • Criteria include both quantitative measures — such as specific feature set, usage, potential, scope, scale, etc. along with qualitative measures such as innovation, creativity, new methodologies, etc.
  • A new product or platform, or an enhancement to an existing product or platform, that enhances advisors’ ability to manage, service and convert clients.
  • Initiatives can include areas such as new cloud versions, mobile apps, workflow tools, integrations with other systems, client portals, social media integrations, sales process improvements, opportunity tracking, marketing campaigns, business intelligence, etc.
  • Criteria include quantitative measures — such as specific feature set, usage, adoption, scope, scale, advisor survey scores, etc. — along with qualitative measures such as innovation, creativity, new methods of deployment, etc.
  • A new initiative, campaign, certification program or enhancement to an existing program or campaign that educates advisor’s on best practices for including and managing cryptocurrency and digital assets in client portfolios.
  • Criteria include both quantitative measures, such as specific feature set, usage, adoption, scope, scale, advisor survey scores, etc., along with qualitative measures such as innovation, creativity, new methods of deployment, etc.
  • A new initiative, product, program, platform or enhancement to an existing platform/product that integrates cryptocurrency, digital assets and the blockchain.
  • Initiatives can include areas such as new ways to process transactions via blockchain technology, rebalance portfolios, as well as the ability to report and track cryptocurrencies, digital assets, automate processes, streamline workflows, etc.
  • Criteria include both quantitative measures, such as specific feature set, usage, adoption, scope, scale, advisor survey scores, etc., along with qualitative measures such as innovation, creativity, new methods of deployment, etc.
  • A new initiative, product, program, platform or enhancement to an existing platform/product designed to protect client data, prevent fraud, ensure compliance with new regulatory mandates and protect confidentiality of personal information from hackers, cyber criminals and other attacks.
  • Initiatives can include areas such as new ways to encrypt data, new platforms, methodologies, protocols, systems, compliance tools, new products, etc.
  • Criteria include both quantitative measures — such as specific feature set, usage, adoption, scope, scale, advisor survey scores, etc. — along with qualitative measures such as innovation, creativity, new methods of deployment, etc.
  • A new product or platform, or an enhancement to an existing product or platform, that enhances advisors’ ability to automate investment management services to their clients.
  • Initiatives can include areas such as new cloud versions, mobile apps, workflow tools, integrations with other systems, electronic account opening, automated investment management, client portals, reporting improvements, business intelligence, etc.
  • Criteria include quantitative measures — such as specific feature set, usage, adoption, scope, scale, advisor survey scores, etc. — along with qualitative measures such as innovation, creativity, new methods of deployment, etc.
  • A new marketing, lead generation, nurturing or brand building campaign, or enhancement to an existing campaign; that leverages integrated digital channels to deliver the firm’s message with compelling call to action.
  • Criteria include direct business results such as leads generated, new clients converted, incremental revenues booked, enhanced closing rates, increased share of existing client wallet, etc., as well as subjective measures of creativity, imagination and new ways to leverage digital channels to deliver a compelling marketing message.
  • A new program, initiative, platform or enhancement to an existing program/platform/initiative designed to promote diversity, equity, and inclusion in the wealth management industry, such as educational and training programs, company and industry events, peer support groups, executive and career networks, student and employee recruiting programs, professional development opportunities, etc.
  • Criteria include direct measurable results such scope, scale, adoption and usage, as well as subjective measures of creativity, imagination and new ways to encourage and promote diversity, equity and inclusion.
  • A new product or platform, or an enhancement to an existing product or platform, that enhances advisors’ ability to manage documents and drive operational efficiencies.
  • Initiatives can include areas such as new cloud versions, mobile apps, process automation, compliance features, workflow tools, integrations with other systems, client portals, business intelligence, etc.
  • Criteria include quantitative measures — such as specific feature set, usage, adoption, scope, scale, advisor survey scores, etc. — along with qualitative measures such as innovation, creativity, new methods of deployment, etc.
  • A new product or platform, or an enhancement to an existing product or platform, that enhances advisors’ ability to produce, manage and update client financial plans.
  • Initiatives can include areas such as new cloud versions, new modules, mobile apps, workflow tools, integrations with other systems, client portals, reporting improvements, business intelligence, etc.
  • Criteria include quantitative measures — such as specific feature set, usage, adoption, scope, scale, advisor survey scores, etc. — along with qualitative measures such as innovation, creativity, new methods of deployment, etc.
  • A new initiative, product, program, platform or enhancement to an existing platform/product designed to enable advisors to access, trade and manage client portfolios using fractional shares.
  • Initiatives can include areas such as direct indexing, rebalancing, dividend reinvesting plans, recurring investments and similar.
  • Criteria include both quantitative measures — such as specific feature set, usage, adoption, scope, scale, advisor survey scores, etc. — along with qualitative measures such as innovation, creativity, new methods of deployment, etc.
  • A new technology innovation, product category or product that enhances advisors’ ability to move the industry forward, help advisors better run their businesses and enhance service to their clients.
  • Initiatives can include areas such as new mobile apps, new workflow tools, new reporting systems, new business intelligence systems, etc.
  • Criteria include both quantitative measures — such as specific feature set, usage, adoption, scope, scale, etc., along with qualitative measures such as innovation, creativity, new methods of deployment, etc.
  • A new technology innovation or enhancement to an existing platform/product that enhances advisors’ ability to move the industry forward, help advisors better run their businesses and enhance service to their clients.
  • Initiatives can include areas such as new cloud versions, mobile apps, workflow tools, integrations with other systems, client portals, reporting improvements, business intelligence, etc.
  • Criteria include both quantitative measures — such as specific feature set, usage, adoption, scope, scale, etc., along with qualitative measures such as innovation, creativity, new methods of deployment, etc.
  • A new initiative, product, program, platform or enhancement to an existing platform/product that enhances and automates the advisor client acquisition process.
  • Initiatives can include areas such as new ways to integrate digital content, access social communications channels, CRM platforms, sales funnel management, drip campaigns, etc. by leveraging technology to drive efficiencies across the client acquisition process.
  • Criteria include both quantitative measures — such as specific feature set, AUM goals, usage, adoption, scope, scale, advisor survey scores, etc. — along with qualitative measures such as innovation, creativity, new methods of deployment, etc.
  • A new initiative, product, program, platform or enhancement to an existing platform/product that facilitates advisor usage of model marketplaces.
  • Initiatives can include areas such as new ways to process transactions, new technology deployments, enhanced access to investment strategies, enhanced reporting, tracking, and cost efficiencies.
  • Criteria include both quantitative measures — such as specific feature set, usage, adoption, scope, scale, advisor survey scores, etc. — along with qualitative measures such as innovation, creativity, new methods of deployment, etc.
  • A new initiative, product, program, platform or enhancement to an existing platform/product that enables the custody, trading, reporting, portfolio analytics and valuation of Non-Fungible Tokens (NFTs).
  • Initiatives can include areas such as new ways to integrate, access and implement NFTs into trading, rebalancing and reporting systems, automate workflows, as well as provide analytics and advisor education on this new asset class.
  • Criteria include both quantitative measures, such as specific feature set, AUM goals, usage, adoption, scope, scale, advisor survey scores, etc., along with qualitative measures such as innovation, creativity, new methods of deployment, etc.
  • A new initiative, product, program, platform or enhancement to an existing platform/product designed to enable advisors to better construct, compare, model and manage portfolios.
  • Initiatives can include areas such as new analytical frameworks, ESG and SRI considerations, access to enhanced investment data, compliance tools, reporting, macro-economic impacts, “x-ray” analyses, and similar.
  • Criteria include both quantitative measures — such as specific feature set, usage, adoption, scope, scale, advisor survey scores, etc. — along with qualitative measures such as innovation, creativity, new methods of deployment, etc.
  • A new product or platform, or an enhancement to an existing product or platform, that enhances advisors’ ability to manage, account and report on client portfolios.
  • Initiatives can include areas such as new cloud versions, mobile apps, workflow tools, integrations with other systems, client portals, reporting improvements, business intelligence, etc.
  • Criteria include quantitative measures — such as specific feature set, usage, adoption, scope, scale, advisor survey scores, etc. — along with qualitative measures such as innovation, creativity, new methods of deployment, etc.
  • A new initiative, product, program, platform or enhancement to an existing platform/product that enhances the way advisors leverage technology to access, report and manage real estate investments.
  • Initiatives can include areas such as new ways to source and invest in real estate, new technology tools, content and education around 1031 exchanges, access to digital marketplaces, reporting systems, applications and similar.
  • Criteria include quantitative measures — such as specific feature set, usage, adoption, scope, scale, advisor survey scores, etc. — along with qualitative measures such as innovation, creativity, new methods of deployment, etc.
  • A new product or platform, or an enhancement to an existing product or platform, that enhances advisors’ ability to efficiently rebalance portfolios.
  • Initiatives can include areas such as new cloud versions, mobile apps, tax-efficiencies, workflow tools, integrations with other systems, reporting improvements, business intelligence, etc.
  • Criteria include quantitative measures — such as specific feature set, usage, adoption, scope, scale, advisor survey scores, etc. — along with qualitative measures such as innovation, creativity, new methods of deployment, etc.
  • A new initiative, program, platform or industry content that facilitates how advisors can better manage risk for clients.
  • Initiatives can include areas such as new programs, methodologies, educational campaigns, integrations, technology tools, ongoing campaigns, service integrations, etc.
  • Criteria include both quantitative measures — such as specific feature set, usage, advisor survey scores, potential, scope, scale, etc., along with qualitative measures such as innovation, creativity, new methods of deployment, etc.
  • A new initiative, program, platform or industry content that leverages new social media communication channels to improve advisors’ ability to interact with clients, gather intelligence and better serve their clients.
  • Initiatives can include areas such as social media integrations, communication campaigns, service integrations, etc.
  • Criteria include both quantitative measures — such as specific feature set, usage, client acquisition, advisor survey scores, potential, scope, scale, etc., along with qualitative measures such as innovation, creativity, new methods of deployment, etc.
  • A new initiative, product, program, platform or enhancement to an existing platform/product designed to support specialized areas of the financial planning process such as estate planning, healthcare planning, student loan management, executive compensation analysis, tax planning, etc.
  • Initiatives can include areas such as new ways to digitize planning processes, analyze outcomes, integrate specialties, enhance recommendations, and integrate into the overall planning process, etc.
  • Criteria include both quantitative measures — such as specific feature set, usage, adoption, scope, scale, advisor survey scores, etc. — along with qualitative measures such as innovation, creativity, new methods of deployment, etc.
  • A new initiative, program, platform or industry content that will move the industry forward.
  • Initiatives can include areas such as diversity programs, women’s initiatives, next generation of advisor/client, succession planning solutions, etc.
  • Criteria include both quantitative measures — such as specific feature set, usage, potential, scope, scale, etc., along with qualitative measures such as innovation, creativity, new methods of deployment, etc.
  • A new initiative, product, program, platform or enhancement to an existing platform/product that enhances advisor’s usability and functionality of a unified (all in one) system.
  • Initiatives can include areas such as new ways to integrate applications across the technology stack, new features, functionality, new components, etc.
  • Criteria include both quantitative measures — such as specific feature set, usage, adoption, scope, scale, advisor survey scores, etc. — along with qualitative measures such as innovation, creativity, new methods of deployment, etc.
  • A new product or platform, or an enhancement to an existing product or platform, that enhances advisors’ ability to track and report on client holdings.
  • Initiatives can include areas such as new cloud versions, aggregation improvements, mobile apps, workflow tools, integrations with other systems, client portals, reporting improvements, business intelligence, etc.
  • Criteria include quantitative measures — such as specific feature set, usage, adoption, scope, scale, advisor survey scores, etc. — along with qualitative measures such as innovation, creativity, new methods of deployment, etc.

TRUSTS

  • A new initiative or program, or an enhancement to an existing platform, that improves advisors’ understanding, usage and management of trust programs/products/platforms.
  • Initiatives can include areas such as research tools, practice management programs, wholesaler support, service improvements, technology enhancements, etc.
  • Criteria include quantitative measures — such as scope, scale, usage, adoption, advisor survey scores, etc. — along with qualitative measures such as innovation, creativity, new methods of deployment, etc.

 

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Kate Healy

Kate Healy is a financial services industry Marketing executive and NextGen advocate, purposefully building brands.

Healy is widely recognized as a leading advocate for the next generation of financial planners, for women advisors and for the financial planning profession. Wealthmanagement.com named her to the 2018 “Ten to Watch” list. In 2016, Investment Advisor magazine named Healy as one of the industry’s 25 most influential people. Healy was named to InvestmentNews’ inaugural “Women to Watch” in 2015. Additionally, she was TD Ameritrade’s 2014 Impact Award winner for Diversity and Inclusiveness.

She is the 2021-2022 board chair for the Foundation for Financial Planning and clerk of the Invest in Others board. Kate also is a founding member of the CFP Board’s Women’s Initiative (WIN) Council, the Center for Financial Planning’s Advisory Council, and the Center’s Diversity Advisory Board. She was formerly managing director for TD Ameritrade Institutional, leading marketing and Generation Next.

Healy is a frequent contributor to industry publications and podcasts, including Barron’s: The Way Forward, WealthManagement.com, and InvestmentNews, and is a repeat speaker at industry events including FPA, NAPFA, FA Magazine, and TD Ameritrade’s LINC national conference.

Healy holds a Bachelor of Arts in Economics from Rutgers College.

Scott Smith

With more than 20 years of financial services industry experience, Scott leads Cerulli’s research efforts focused on investor behavior and advisory relationships. In his time at Cerulli he has authored more than two dozen in-depth reports on topics ranging from wholesale distribution to digital advice platforms. His research helps Cerulli’s clients understand how to optimize their platforms given the evolving demand for financial advice.

Scott, who received his B.A. from The Johns Hopkins University in Economics and his M.B.A. from Bryant University, started his career wearing a headset at Putnam Investments’ service center, before moving to more strategic roles at MFS Investment Management and then to Cerulli in 2007.

Abby Salameh

“It’s lonely at the top, so make sure to bring your friends!”

Abby Salameh is a seasoned, executive-level professional with over 25-years of experience focused on building solutions to drive growth for independent advisory businesses and the organizations that serve them.

Having held multiple leadership positions at firms like InvestmentNews, TD Ameritrade, NFP and most recently as CMO of Hightower Advisors, Abby brings deep knowledge of martech (marketing technology) solutions, practice enrichment programs, and overall growth strategies required in the industry. She is also a dynamic, transformative leader who serves her teams with passion.

Specializing in strategic thinking and planning, driving top-line solutions, expanding revenue and growth through scaling marketing, strategic partnerships and fresh ideas, Abby won the 2020 “Thought Leader of the Year” Wealthies award.

Abby resides in New Jersey with her husband, three teenagers and her two beloved French bulldogs.

Tina Powell

Tina Powell is the CEO of C-Suite Social Media, a high-performance digital marketing and social media agency for the financial services industry. With over 20 years of hands-on digital marketing campaign and strategy, Tina’s extensive experience has kept her on the leading edge of marketing and social media. Prior to founding C-Suite Social Media, Tina was a partner at Beacon Wealth Management, an SEC-registered RIA firm based in Hackensack, New Jersey later acquired by Mercer Advisors.

Tina is a TEDx Speaker and host of In the Suite Podcast, a show that explores contemporary themes for mid and senior women in the financial services and wealth management industry, listened in 54 countries and over 1003 cities around the globe. Tina is also a judge for the WealthManagement.com Industry Awards, a Grant Judge for Invest in Others Foundation, the 2021 Stevie® Awards for Sales & Customer Service, and a member of the 2022 Women|Future Conference Advisory Board.

Tina graduated with honors from New York University with an M.A. in Graphic Communications Management and Technology and taught Integrated Marketing and Leadership in the Graduate Program. She also earned a B.S. in Business Management, magna cum laude, from Fairleigh Dickinson University and holds a Series 65 license. Tina was named to The Ten Most Empowering Women in Business for 2021 by Insights Success Magazine and Industry Era’s Ten Best Women Leaders of 2020.

Craig Pfeiffer

Craig Pfeiffer is the President & CEO of the Money Management Institute MMI is the leading voice for the global financial services organizations that provide advice and professionally managed investment solutions to individual and institutional investors. MMI enables, facilitates, and shepherds industry dialogue through national and thematic conference, education and professional development initiatives, thoughtleadership publishing, regulatory affairs, and next generation initiatives. 

Additionally, Craig is engaged in leadership roles across the financial services landscape. He is active as 

  • Co-founder and Chair of the Advisory Board for RiskBridge Advisors; RiskBridge is an OCIO asset manager focused in the non-profit, endowments and foundations space 
  • a Board Director and Lead Director for Westfield Group’s Ohio Farmers Insurance Company
  • and an Operating Partner at the private equity firm Corsair Capital. 

Craig is a proven senior financial services executive, following 29 years with Morgan Stanley Smith Barney and its predecessor firms. He transitioned from MSSB in 2012 where he was Vice Chairman and on the Executive Committee. From 2003 to 2011, he held a progression of senior positions including the National Sales Group with responsibility for marketing strategy and client communications, desktop technology, and brokerage-based banking. Additionally, he has been responsible for businesses including retirement services and corporate equity solutions. From 1982 to 2003, Craig advanced through field management roles, starting as a Financial Advisor, and transitioning into field management at all levels.

Craig is an alumnus of Indiana University Kelley School of Business and most proud of his wife Cissy, their 40-year journey, their two married children and their six grandchildren.

Matt Lynch

Matt Lynch is the Managing Partner of Strategy & Resources, LLC, a financial services consulting firm. Matt, who has over 25 years of industry experience, has had a successful career as a financial services senior executive and consultant. He is sought after for his ability to link strategy with the art of the possible in terms of implementing change. Matt serves senior executives at financial services companies by focusing on corporate-level strategy, resource optimization and change management.


Matt’s professional background includes progressive senior leadership roles as President & CEO of an independent broker-dealer and RIA, Capital Analysts Incorporated, CFO of Lincoln Financial Advisors, and field management roles with New York Life. His consulting credentials include Moss Adams, LLP, where Matt was a Director of the business consulting group where he was widely recognized for his industry expertise in succession planning, M&A, and financial services distribution strategies.


Matt is a frequent keynote speaker at company events and industry conferences for firms and organizations throughout North America. He also serves on the board of directors and/or in board advisory roles for a number of financial services companies.


Matt is a native of Dayton, Ohio and received his MBA from Xavier University in Cincinnati. He holds the Chartered Life Underwriter (CLU) and Chartered Financial Consultant (ChFC) professional designations from The American College.

Tom Lydon

Tom Lydon is the CEO of ETF Trends and ETF Database. ETFtrends.com is the global leader in virtual ETF education, while ETFdb.com is the world’s largest, independent ETF-centric website focused on ETF research and fund flow decisioning tools. Together, the two companies total five million monthly impressions and have over 100,000 financial advisors register for their webcasts and virtual investment conferences annually.

Lydon started ETF Trends in 2005 on the heels of founding Global Trends Investments, an asset management firm located in Orange County, CA. He is also a contributor to many major media outlets including CNBC, Fox, Yahoo, Forbes, The Wall Street Journal, Investor’s Business Daily, and MarketWatch.

As the author of iMoney and The ETF Trend Following Playbook, Lydon is a highly sought-after speaker and ETF influencer. He serves as a trustee on the Guggenheim Funds Board and is also a director on the US Global Investors (GROW) corporate board.

Julie Littlechild

Julie Littlechild is the Founder and CEO of Absolute Engagement, a firm that provides innovative technology, tools and guidance to help advisors – and advisory firms – use input from clients to drive profound engagement and significant growth.

Julie has worked with and studied successful financial advisors and their clients for more than twenty years and conducts one of the largest investor research studies to examine what clients need, want and expect. She is the author of a popular blog The Pursuit of Absolute Engagement.

Julie sat on the national board of the Financial Planning Association, was twice identified as one of the 25 Most Influential People in Financial Planning and won an Influencer Award in practice management. She works in the US, Canada, UK and Europe and holds an MBA from the University of Toronto.

Greg Friedman

Greg Friedman is an innovator and advocate for exceptional wealth management. He is co-founder and CEO of Private Ocean, one of the West Coast’s leading wealth management firms, and also the co-founder and former CEO of Junxure, an industry-leading CRM for advisors.

He was named by Investment Advisor Magazine as a Top 25 most influential financial advisor in 2008, 2009 and 2010. In 2007, Charles Schwab honored him with its prestigious IMPACT Award® for “Best in Tech” award, in 2008 Financial Planning Magazine included Friedman in its elite list of financial “Movers and Shakers” and he was recognized in 2017 on InvestmentNews Icons and Innovators list.

In 2018, Greg was named CEO of the Year at the WealthManagement.com Industry Awards. He is the author of two books for advisors, Advisory Leadership: Using the Seven Steps of Heart Culture to Create Lasting Success for Any Wealth Management Firm, published in 2015, and the Financial Advisor M&A Guidebook, published in 2018.

Prior to joining Gartner, Mr. Courtney held positions at CEB, Scudder, Stevens & Clark, Columbia Asset Management, MFS Investment Management, AARP Financial and The Hartford. He is a frequent speaker at industry and company events and is often quoted in the financial trade press. He has nearly 30 years of financial services experience in operations, client service, sales, product management and business development roles.

Mr. Courtney earned his M.A. from Northeastern University and B.A. from the University of Massachusetts at Amherst. He also holds a certificate in Advanced Financial Planning from Merrimack College and is a Certified Financial Planner professional.

 

Amy Flourry

Amy Flourry is a Principal at Rehmann in the firm’s Lansing, Michigan office.

Flourry has held operational roles in the financial services industry since 1998 and she joined Rehmann in 2001. As the Director of Operations for Rehmann’s Wealth Management department, she represents the wealth management division across the firm.

She has extensive experience in management, business development and overseeing daily operations such as: supervising staff, providing training on systems and processes, managing technology, assisting with business combinations by acting as a liaison between Rehmann Wealth and the parent firm, onboarding and offboarding.

Flourry was instrumental in developing Rehmann’s broker dealer practice. She holds a unique perspective in the financial services industry due to her experience with both registered investment advisors and broker dealers.

Additionally, Flourry serves as chair of the Rehmann Women’s Initiative Network (WIN) Council and has been a member since 2012.

Flourry holds a bachelor’s degree from Western Michigan University.

Darrin Courtney

Darrin Courtney is a VP Analyst, Global Financial Services Industry (Analysis & Evaluation), Research & Advisory, specializing in wealth management. Mr. Courtney advises executives on their most pressing challenges, focusing on both business and technology initiatives, via strategy sessions, inquiry calls and event participation. His research advisory areas include tools that enhance advisor/client collaboration, including financial planning, portfolio management, client reporting, aggregation, digital tools and other wealth-related platforms.

Prior to joining Gartner, Mr. Courtney held positions at CEB, Scudder, Stevens & Clark, Columbia Asset Management, MFS Investment Management, AARP Financial and The Hartford. He is a frequent speaker at industry and company events and is often quoted in the financial trade press. He has nearly 30 years of financial services experience in operations, client service, sales, product management and business development roles.

Mr. Courtney earned his M.A. from Northeastern University and B.A. from the University of Massachusetts at Amherst. He also holds a certificate in Advanced Financial Planning from Merrimack College and is a Certified Financial Planner professional.

 

T. Neil Bathon

T. Neil Bathon is managing partner of Fuse Research Network, a leading-edge decision support firm that employs a highly refined market intelligence capability to deliver informed, decisive and forward-looking guidance to firms in the asset management industry. Fuse Research Network delivers tactical research-based, client-specific recommendations that improve the productivity and effectiveness of the resources devoted to sales, marketing, and product management.

Timothy D. Welsh

Timothy D. Welsh, CFP® is president, CEO and founder of Nexus Strategy LLC, a leading consulting firm to the wealth management industry. Nexus Strategy’s primary focus is working with leading financial services and technology firms to distribute products and services through the advisor channel.

Prior to founding Nexus Strategy, Tim was director of business consulting services for Schwab Advisor Services, where he led the development and marketing of practice management resources for independent advisors. While at Schwab, Tim also held senior roles in Strategy, Marketing, Advertising, PR and Industry Content development.

Prior to joining Schwab, Tim was vice president at Merrill Lynch, where he was responsible for marketing, product development and financial advisor training for the financial planning group. Tim is frequently quoted in the wealth management media on a wide range of business management and industry topics. He is the author of a number of industry white papers, a guest columnist for RIABiz, Investment News and WealthManagement.com, and is a frequent speaker at industry conferences and events. Tim earned a bachelor’s degree in economics from the University of California, Berkeley and an MBA in finance from the University of Colorado.

Tim holds the Certified Financial Planner (CFP®) designation and is an active member of the Financial Planning Association (FPA), where he serves in a leadership role on a number of task forces and committees, and was formerly an elected member of the National Board of Directors.

Toussaint Bailey

Toussaint Bailey is the founder and CEO of Uplifting Capital—a tech-forward impact investing platform that enables financial advisors and their clients to personalize impact through private market investments. Prior to Uplifting Capital, Toussaint was the founding CEO of private wealth firm Enso Wealth Management. Before financial services, Toussaint spent over a decade as a practicing attorney. Toussaint serves in several advisory and board capacities, including Advisory Board to Institutional Investor RIA Institute—Impact Investing and Implementation segment, and Alternative & Direct Investment Securities Association—Impact and ESG subcommittee.

Outside of finance work, Toussaint created the Just Listen Project, which is endeavored to heal racism by feeling into the personal experiences of unheard colleagues and friends. He is an avid student of the science of well-being and emotional health. He serves on several nonprofit boards, including Search Inside Yourself, a practical mindfulness, emotional intelligence, and leadership training organization spun out of Google. Most importantly, Toussaint is a proud Girl Dad to the third power.

David Armstrong

David Armstrong is the editor-in-chief and executive director of content and user engagement for WealthManagement.com and its print component, Wealth Management magazine.

His journalism career began at Fox News, where he was one of the first business reporters for Foxnews.com. He worked at Forbes magazine for eight years, covering everything from entrepreneurs to technology to finance. There, he was a co-editor of the Forbes 400, the annual ranking of the 400 richest people in America.

In addition to his journalism background, Armstrong was a senior editor at HNW, a boutique marketing company, crafting messages and communications directed at high-net-worth clients of financial advisors from clients including Merrill Lynch Wealth Management, Wells Fargo, UBS and Northern Trust. In that role, he also helped spearhead major bespoke research projects—both qualitative and quantitative, on HNW investors and their relationship with financial advisors—for clients like Fidelity, Lincoln Financial and RBC Wealth Management.

He is a graduate of the University of Wisconsin-Madison and has taken post-graduate courses at the New School for Social Research.