Award Categories

INDIVIDUAL

NextGen Advisor of the Year

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(must be registered with a regulator) on or after January 1, 2023.  

Self-nominations are welcomed. 

When judging this category, the following criteria will be considered: 

 

  • Must have been accredited as an advisor (must be registered with a regulatorr) on or after January 1, 2023
  • 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 
The Park Avenue Securities Award for CEO of the Year

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 
Advisor of the Year – Alternative Investments

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 
Advisor of the Year – ESG/Responsible Investing

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 
Advisor of the Year (Regional)

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 
The Thrivent Financial Award for Excellence in Philanthropy and Community Service

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 all organizations within the financial planning industry to wealth management industry
  • 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 
Financial Education Champion

This award recognizes an outstanding financial professional who has demonstrated exceptional leadership and dedication to improving financial literacy and empowering individuals and families across their community. The winner is someone who actively promotes financial education, inspires positive financial behavior, and makes a measurable impact through their initiatives.

Judging Criteria

Judges will consider the following factors:

  • Commitment to Financial Education: Active involvement in programs, initiatives, or outreach efforts that improve financial knowledge and skills for adults, seniors, or children.
  • Audience Engagement & Impact: Ability to effectively engage their audience, inspire action, and help individuals take meaningful steps toward financial well-being.
  • Leadership & Advocacy: Demonstrated leadership in championing financial literacy, whether through mentorship, volunteering, or advocacy within the community or the broader financial services industry.
  • Resource Contribution & Dedication: Personal investment of time, financial support, or other resources to advance financial education initiatives and create lasting positive change.
  • Innovation & Creativity: Use of innovative approaches or creative methods to make financial education accessible, engaging, and impactful for diverse audiences.
Finfluencer of the Year

This award recognizes a financial content creator (“finfluencer”) who has made a significant, positive impact on financial literacy and consumer understanding of personal finance, investing, or wealth management over the past 12 months. The honoree will exemplify integrity, educational value, creativity, and influence across digital platforms while promoting responsible, compliant financial guidance.

Judging Criteria

Judges will consider the following factors:

  • Quality & Accuracy of Educational Content: Demonstrated commitment to producing clear, accurate, and engaging financial education content across platforms such as YouTube, TikTok, Instagram, and podcasts.
  • Audience Impact & Reach: Growth in audience, engagement metrics, and demonstrated influence in improving financial literacy, consumer awareness, or positive financial behaviors.
  • Innovation & Creative Storytelling: Use of original formats, multimedia tools, or platform-specific innovation to make complex financial topics accessible and compelling for diverse audiences.
  • Compliance Awareness & Ethical Standards: Evidence of responsible communication, transparency in sponsorships or partnerships, and adherence to applicable regulatory guidelines on financial promotions.
  • Community Engagement & Social Responsibility: Initiatives that contribute to financial empowerment—especially for underserved communities—and a demonstrated commitment to diversity, equity, and inclusion (DEI) within financial education.
Lifetime Achievement in the Wealth Management Industry

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. 

Wholesaler of the Year

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 

ORGANIZATIONAL

Annuities Provider of the Year
This award recognizes the annuity provider or insurance carrier that has demonstrated exceptional performance in delivering value to financial advisors and their clients. The winner will exemplify leadership in product innovation, advisor education, service excellence, and operational effectiveness within the annuities marketplace over the past 12 months.

Judging Criteria

Judges will consider the following factors:

  • Advisor Relationship & Distribution Excellence: Strong advisor relationship management, service quality, responsiveness, and effective engagement across distribution partners and independent channels.
  • Product Innovation & Advisor Education: Development or enhancement of innovative annuity solutions—fixed, indexed, variable, or registered index-linked (RILAs)—along with clear, compliant educational resources that help advisors understand product features, benefits, and client suitability.
  • Operational, Administrative, or Technology Advancements: Platforms, tools, or administrative processes that streamline applications, reduce friction, enhance transparency, improve compliance workflows, or otherwise strengthen the advisor experience.
  • Commitment to the Advisor Ecosystem: Sustained dedication to supporting advisors through field support, training programs, practice management resources, and long-term partnership initiatives within the U.S. annuities and wealth management landscape.
  • Corporate Responsibility & Industry Leadership: Demonstrated commitment to corporate social responsibility, diversity, equity, and inclusion (DEI), as well as leadership in responsible business practices or sustainable investing integration where relevant.
Asset Manager of the Year

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 
Back Office Support – Compliance Team of the Year (RIA or Broker-Dealer)
This award recognizes a back office compliance team that has demonstrated exceptional performance in simplifying regulatory processes and supporting advisors over the past 12 months.

Judging Criteria

  • Regulatory Expertise & Compliance Support: Ability to streamline complex compliance requirements and provide clear guidance to advisors and internal stakeholders.
  • Responsiveness & Accuracy: Speed and precision in responding to compliance inquiries or resolving regulatory issues.
  • Scalability & Operational Excellence: Capability to manage high-volume compliance processes while maintaining consistent quality and adherence to regulations.
  • Innovation & Process Improvement: Creative approaches, tools, or workflow enhancements that improve compliance efficiency, reduce risk, or enhance the advisor experience.
Back Office Support – CRM & Technology Team of the Year (RIA or Broker-Dealer)

This award recognizes a back office team that provides outstanding CRM, technology, and operational support to advisors, enhancing efficiency and client service.

Judging Criteria

  • Technology & CRM Expertise: Ability to manage and optimize CRM platforms, trading systems, reporting tools, or other technology solutions for advisor benefit.
  • Responsiveness & Problem Solving: Efficiency in addressing technology issues, system inquiries, and supporting advisors’ workflow needs.
  • Scalability & System Integration: Capacity to implement solutions or processes that work effectively across a growing or diverse advisor base.
  • Innovation & Operational Impact: Development of creative tools, automation, or system enhancements that improve advisor productivity, client service, or data integrity.
Back Office Support – Marketing Team of the Year (RIA or Broker-Dealer)
This award recognizes a back office marketing team that has provided exceptional support to advisors through campaigns, content, and communications, helping drive client engagement and business growth.

Judging Criteria

  • Advisor-Focused Marketing Support: Quality of marketing materials, campaigns, and resources designed to assist advisors in client communication and business development.
  • Creativity & Innovation: Innovative approaches to content, campaigns, or digital engagement that differentiate advisors and the firm in the market.
  • Responsiveness & Service Excellence: Speed and accuracy in supporting advisor marketing needs and responding to requests.
  • Impact & Scalability: Ability to deliver consistent, high-quality marketing programs and materials across a broad advisor network while maintaining brand compliance.
Broker Dealer of the Year

Criteria:

This award recognizes the most outstanding Broker-Dealer 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
Custodian of the Year

Criteria:

This award recognizes the most outstanding 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
Employer of Choice

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 
ETF Provider of the Year

This award recognizes the exchange-traded fund (ETF) provider or asset management firm that has demonstrated outstanding performance in delivering value to financial advisors and their clients. The winner will exemplify excellence in product innovation, advisor education, operational effectiveness, and leadership within the ETF market over the past 12 months.

Judging Criteria

Judges will consider the following factors:

  • Advisor Relationship & Distribution Excellence: Effective advisor relationship management, service delivery, and engagement across key distribution channels and strategic partners.
  • ETF Innovation & Advisor Training: Development or enhancement of innovative ETF strategies, paired with strong educational support that helps advisors understand and articulate product benefits, use cases, and suitability for client portfolios.
  • Operational, Administrative, or Technology Advancements: Technology tools, platforms, or administrative solutions that improve the advisor experience—demonstrating strategic thinking, collaboration, regulatory awareness, and measurable impact.
  • Commitment to the Advisor Ecosystem: Sustained dedication to supporting the advisor channel through resources, programs, and initiatives that strengthen long-term partnerships in the U.S. wealth management landscape.
  • Corporate Responsibility & Industry Leadership: Actions that demonstrate commitment to corporate social responsibility, diversity, equity, and inclusion (DEI), along with leadership in responsible or sustainable investing practices where applicable.
Most Innovative Use of WealthTech

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 
Mutual Fund Provider of the Year

This award recognizes the mutual fund provider or asset management firm that has demonstrated exceptional performance in serving financial advisors and their clients. The winner will have shown excellence in product innovation, advisor education, operational effectiveness, and industry leadership over the past 12 months.

Judging Criteria

When evaluating this category, the judges will consider:

  • Advisor Relationship & Support Excellence: Demonstrated strength in advisor relationship management, service delivery, practice support, and overall engagement with key distribution partners.
  • Product Innovation & Advisor Education: Introduction or enhancement of mutual fund strategies, along with clear, effective education that helps advisors communicate product value and suitability to clients.
  • Operational, Administrative, or Technology Advancements: Technology platforms, tools, or administrative solutions that improve advisor experience, efficiency, or compliance workflows—showing strategic thinking, collaboration, and measurable impact.
  • Commitment to the Advisor Channel: Sustained investment in advisor-focused initiatives, resources, or programs that reinforce long-term partnerships within the U.S. wealth management ecosystem.
  • Corporate Responsibility & Industry Leadership: Demonstrated commitment to corporate social responsibility, diversity, equity, and inclusion (DEI), as well as leadership in responsible or sustainable investing practices where applicable.
RIA Firm of the Year

Criteria:

This award recognizes the most outstanding advisory firm with more than 100 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 
RIA Team of the Year (10 Advisors or More)

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 
RIA Team of the Year (Under 10 Advisors)

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 
WealthTech Provider of the Year

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