INDIVIDUAL
Criteria:
This award recognizes the advisor who has displayed excellence over the past 12 months in alternative solutions, namely investments in asset classes other than stocks, bonds and cash, featuring low correlations to traditional asset classes.
Alternative solutions may include equity or fixed income mutual funds using alternative strategies, real estate, infrastructure, commodities, hedge funds, private equity and structured products.
Self-nominations are welcomed.
When judging this category, the following criteria will be considered:
- Knowledge, understanding and communication of alternative investment opportunities and strategies for their clients’ portfolios
- Client retention and relationship strategies, and how it sets the advisor apart from competition within alternative investments
- Examples of ways that the advisor is educating the industry/clientele on alternative strategies
- Exemplary business development strategies to prospect and retain clients in innovative ways
- Approach to regulatory compliance
Criteria:
This award recognizes the advisor who has displayed excellence over the last 12 months in socially responsible investments.
Self-nominations are welcomed.
When judging this category, the following criteria will be considered:
- Knowledge, understanding and communication of ESG/responsible investment opportunities and strategies for their clients’ portfolios
- Client retention and relationship strategies, and how it sets the advisor apart from competition within SRI
- Examples of ways that advisor is educating the industry/clientele on SRI strategies
Criteria:
Wholesalers are essential in the fund-advisor relationship. This award recognizes the wholesaler who has displayed excellence over the past 12-18 months, offers superior service to advisors.
Self-nominations are welcomed.
When judging this category, the following criteria will be considered:
- Accessibility and communication
- Demonstrated understanding of their advisors’ businesses
- Product knowledge
- Value contributed to advisors
- Year-over-year growth
- Business development
- Overall client service and relationship management
Criteria:
This award is one of the highest accolades offered to an individual in the wealth management and financial planning industry.
This award recognizes the most outstanding advisors in the main regions of the U.S. from an advisory firm or team, regardless of business size and model.
Self-nominations are welcomed.
When judging this category, the following criteria will be considered:
- Exemplary business development strategies to prospect and retain clients in innovative ways.
- Knowledge, understanding, and communication of investment opportunities and strategies for their client’s portfolios
- Client retention and relationship strategies, and how it set the advisor apart from the competition with a unique value proposition
- Examples of ways that the advisor is educating the industry/clientele on investment strategies
- Demonstrations of mentorship and/or other efforts such as pro-bono work, servicing underserved communities, community work etc.
- Approach to regulatory compliance
Criteria:
This award goes to the CEO who has demonstrated exceptional leadership over the past 12 months, bringing their organization to a new level of growth and success and stimulating the wealth management industry.
Nominees must be a CEO/President/equivalent of an advisory network, advisory firm, fund company, or service provider to advisors
When judging this category, the following criteria will be considered:
- CEO’s vision, leadership, engagement of workforce, commitment to the wealth management industry and their industry reputation.
- CEO’s commitment to corporate values (e.g. ESG, innovation, customer care, knowledge and education) and positive impact on the industry as a whole.
- Corporate growth, achievements, recognition and performance, reflective of their leadership
This award recognizes the outstanding trailblazer in the wealth management and financial planning industry who has shown a meaningful commitment and impact on diversity in financial services.
Criteria:
This is the highest honour and most coveted award at the InvestmentNews Awards.
This award recognizes and celebrates a leading figure who has contributed much to the advancement of the wealth management and financial planning industry in the US.
This award will acknowledge an individual with an established history and reputation of distinguished service to the wealth management and financial planning profession. This individual has exhibited leadership and provided inspiration to others, whilst putting the interests of the industry at the top of their priorities throughout their career.
There are no finalists for this category. Nominations will be evaluated by the IN team. The recipient of this award will be contacted 3-4 weeks before the awards event and will be announced at the IN Awards.
Criteria:
This award recognizes the advisor who has displayed excellence in their first three years as an advisor.
To be eligible, nominees must have been accredited as an advisor on or after January 1, 2021.
Self-nominations are welcomed.
When judging this category, the following criteria will be considered:
- Must have been accredited as an advisor on or after January 1, 2021
- Knowledge, understanding and communication of investment opportunities and strategies for their clients’ portfolios
- Client retention and relationship strategies, and how it sets the advisor apart from competition with a unique value proposition
- Examples of ways that the advisor has established themselves with their clients and peers in a short period of time
- Approach to regulatory compliance
Criteria:
This award recognizes the advisor or advisory team whose outstanding contribution of time, leadership and financial support over a sustained period of time, beyond normal expectations, has made significant impacts in the receiving causes or communities.
Self-nominations are welcomed.
When judging this category, the following criteria will be considered:
- Open to individuals and advisory teams
- Demonstration of major philanthropic and community service programs or initiatives over the last 12 months that align with broader corporate goals or strategies (i.e. company culture, employee engagement etc.)
- Impact on local, national, or international causes or communities
- Overall commitment to philanthropy and community service
- Testimonials from beneficiaries or partners
ORGANIZATIONAL
Criteria:
This award recognizes the most outstanding advisory firm (including full-time equivalents, advisors and support staff) that has displayed excellence over the past 12 months.
Advisory teams or offices may nominate themselves and the IN team will also consider input from peers, partners, and clients.
When judging this category, the following criteria will be considered:
- Employee value proposition (business development support, marketing support, education, training, philanthropy)
- Overall client service and relationship management
- Unique business plan and strategies to interact with new and existing clients
- Spirit of innovation with use of wealth technology and digital platforms/tools
- Industry reputation
Criteria:
This award recognizes the most outstanding advisory team or office with 10 staff or more (including full-time equivalents, advisors and support staff) that has displayed excellence over the past 12 months.
Advisory teams or offices may nominate themselves and the IN team will also consider input from peers, partners, and clients.
When judging this category, the following criteria will be considered:
- Employee value proposition (business development support, marketing support, education, training, philanthropy)
- Overall client service and relationship management
- Unique business plan and strategies to interact with new and existing clients
- Spirit of innovation with use of wealth technology and digital platforms/tools
- Industry reputation
Criteria:
This award recognizes the most outstanding advisory team or office with fewer than 10 staff (including full-time equivalents, advisors and support staff) that has displayed excellence over the past 12 months.
Advisory teams or offices may nominate themselves and the IN team will also consider input from peers, partners, and clients.
When judging this category, the following criteria will be considered:
- Employee value proposition (business development support, marketing support, education, training, philanthropy)
- Overall client service and relationship management
- Unique business plan and strategies to interact with new and existing clients
- Spirit of innovation with use of wealth technology and digital platforms/tools
- Industry reputation
Criteria:
This award is given to the advisory team, firm, office or network that has best harnessed technology and digital solutions to improve their business, aid their advisors, and leverage overall client experience over the past 12-18 months.
This category looks at the organization’s use of wealth technology and digital platform/solution/resource/software/s such as (but not limited to) CRM, digital marketing, mobile technology, electronic document management, connectivity platforms, and collaboration tools.
Service/solution providers are not eligible nominees in this category as this is a category for advisory teams or offices using the service/solution/tool/s.
Self-nominations are welcomed.
When judging this category, the following criteria will be considered:
- Overall use of digital platforms and wealth technology solutions in the past 12-18 months, demonstrating positive outcomes
- Clear narrative demonstrating the needs identification process for implementation of the technology
- Alignment of the use of the technology with the organization’s broader goals
- Innovation in the types of technology used
- Evidence of return on investment and impact on staff engagement and performance
Criteria:
This award recognizes a multi-office advisor network, brokerage, or fund provider’s commitment to building a workplace that recognizes excellence and supports career growth for all.
This award recognizes the company that has earned the reputation to be called an employer of choice within the wealth management and financial planning industry.
Nominations by employees, partners, peers, and clients are welcome.
When judging this category, the following criteria will be considered:
- Must have more than 50 employees within the U.S. and be in the wealth management industry.
- Demonstrates unique employee value proposition (e.g. business development support, marketing support, education, training, philanthropy)
- Defined workplace brand and culture to foster growth for employees
- Innovative approach to employee recruitment, retention, talent management, learning & development, mitigating employer-related risks, managing changes within the business (i.e. digitalization, customer expectations, compliance)
- Exemplary reputation within the industry
Criteria:
This award recognizes the outstanding asset management firm which consistently delivers superior advisor service while pushing the boundaries with innovation and industry best practices over the past 12 months.
When judging this category, the following criteria will be considered:
- Effective client relationship management strategies and stakeholder engagement
- Demonstration of innovative strategies & ability to educate advisors on the value to their clients of these products
- Administration or technology solutions where strategic thinking, collaboration and excellence have made a key impact with advisors
- Sustained effort and commitment to the advisor channel
- Corporate social responsibility, diversity and inclusion, and responsible investment (SRI) initiatives are all considered
Criteria:
This award recognizes the most outstanding Broker-Dealer/Custodian that has displayed excellence over the last 12 months.
When judging this category, the following criteria will be considered:
- Employee value proposition (business development support, marketing support, education, training, philanthropy)
- Overall client service and relationship management
- Unique business plan to attract and retain advisor talent (i.e., recruitment strategy)
- Spirit of innovation with use of wealth technology and digital platforms/tools
- Industry reputation
Criteria:
This award acknowledges the contributions of an organization with a proven track record of providing the financial planning and wealth management industry with exceptional services and tools to better serve their clients.
When judging this category, the following criteria will be considered:
- Must be a WealthTech provider
- Consistently innovates and stays ahead of the curve for the betterment of the industry
- Demonstrates a unique value proposition and major strengths amongst competition
- Provides exemplary service to assist financial professionals achieve their own objectives
Criteria:
This award acknowledges the efforts and impact made by an organization in the field of diversity, equity and inclusion. The winning organization will have demonstrated how it has prioritized these initiatives and the resources they have allocated to it.
Self-nominations are welcome as are nominations by employees, partners, peers, and clients are welcome.
When judging this category, the following criteriawill be considered:
- Purposeful actions and accomplishments in DEI over the past 5 years in which the organization played a key role.
- Evidence that the organization was involved in the promotion, influence and championing of DEI within the wealth management and financial planning industry
- Other relevant accolades and involvements (charitable work, accomplishments outside the industry, leadership or professional associations, etc.)
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