2019 Finalists
Congratulations to all the Finalists of the 2019 WealthManagement.com Industry Awards. Winners will be announced at The Ziegfeld Ballroom in New York City on September 12.
401(k) RETIREMENT PLAN SUPPORT: Service
Fidelity Investments
Plan Sponsor Attitudes Study
FIS Global
Retirement Plan Communications Suite
Morningstar Investment Management, LLC
Advisor Managed Accounts Program
401(k) RETIREMENT PLAN SUPPORT: Technology
AssetMark
Guided Income Solutions (SM)
Envestnet Retirement Solutions
Financial.fit – Retirement Plan Integrated Financial Wellness
Fi360
Fi360 Data Aggregation & Business Intelligence
Vestwell
Onboarding Trackers
Vestwell
Proposal Generator Tool for Retirement Plans
ASSET MANAGERS: Alternatives
361 Capital
Alternatives Education Campaign
J.P. Morgan Asset Management
Guide to Alternatives Tool
ASSET MANAGERS: Chief Marketing Officer of the Year
361 Capital
Alexandra (Seifert) Neville
Janus Henderson Investors
David Master
Legg Mason
Fran L. Cashman
Macquarie Investment Management
Neil Siegel
Moneta
Susan Gerard
ASSET MANAGERS: Client Experience Initiative
BMO Global Asset Management
BMO Market Charts – Advisor Engagement Strategy
J.P. Morgan Asset Management
J.P. Morgan’s Target Date Compass
Legg Mason
Anatomy of a Recession Program
ASSET MANAGERS: Corporate Social Responsibility/Diversity
361 Capital
9/11 Heroes Run
Athena Capital Advisors
Gender Inclusion Events
Guggenheim Investments
ESG and Sustainability Initiatives
ASSET MANAGERS: ETF Strategists
First Ascent Asset Management
Factor Select Portfolios
iSectors, LLC
iSectors Enhanced Models
ASSET MANAGERS: ETFs
Direxion
Direxion Relative Weight ETFs
Goldman Sachs Asset Management
GSAM ETFs
Innovator Capital Management
Defined Outcome ETFs
Janus Henderson Investors
JMBS – Mortgage-Backed Securities ETF
John Hancock Investments
Smart Beta ETF Suite
Pacer ETFs
Seasonal Rotation ETF (SZNE)
Salt Financial
High truBeta™ ETF
ASSET MANAGERS: Fixed Income
Gurtin Municipal Bond Management
Tax Loss Harvesting Service
Janus Henderson Investors
Portfolio Construction Services Fixed Income Framework
Wavelength Capital Management
Fixed Income Rules-based AI
ASSET MANAGERS: New Product Development
Cushing Asset Management
Sector Plus Suite
EquBot
International Equity AI-Powered ETF
iSectors, LLC
Enhanced Allocation Series
Vesper Capital Management
“Buy the Dip” ETF
Westwood Holdings Group, Inc.
Sensible Fees™ Structure
ASSET MANAGERS: Real Estate (including REITs)
Cohen & Steers
Late Cycle REITs Education Campaign
Fundrise
Fundrise Opportunity Fund
KBS
KBS Growth and Income REIT
ASSET MANAGERS: Separate Accounts
Flexible Plan Investments, Ltd.
QFC Strategies
Just Invest
Kaleidoscope SMA Builder
ASSET MANAGERS: Socially Responsible Investing (SRI)/Impact Investing
CLS Investments, LLC
Risk Budgeted ESG Strategy
Ethic
Strategy Back-testing
Gurtin Municipal Bond Management
Municipal Impact Strategy
ASSET MANAGERS: Thought Leadership Advisor Education
Columbia Threadneedle Investments
Guide to Investor Behavior
Fidelity Investments
Portfolio Construction Insights Program
First Ascent Asset Management
“First Impressions” Advisor Education Program
Guggenheim Investments
“Forecasting the Next Recession” Series
Invesco
2018 Global Factor Investing Study
Janus Henderson Investors
Currents of Disruption Video Series
State Street Global Advisors
Aim Higher ESG Campaign
T. Rowe Price
The Family Dynamics of InterGenerational Wealth Transfer Program
ASSET MANAGERS: Thought Leadership Product Enhancement
iSectors, LLC
Enhanced Allocation Models
Janus Henderson Investors
Invest in the Power of Disruption Campaign
John Hancock Investments
Fund Compare Research Tool
JP Morgan Asset Management
2019 Guide to Retirement
SpiderRock Advisors
Concentrated Stock Solutions Suite
BROKER–DEALERS (1,000 Advisors or More): Practice Management
Advisor Group
Marketing Coaching Program
Edward Jones
Branch Team Workshops
Kestra Financial
Brand Directive Program
LPL Financial
Suite of Virtual Outsourced Services
Raymond James
Gamification Application
BROKER–DEALERS (1,000 Advisors or More): Technology
Advisor Group
eQuipt
Kestra Financial
AdvisorComplete 2.0 Portal
LPL Financial
Integrated Technology Platform
Raymond James
Portfolio Management Initiative
BROKER–DEALERS (1,000 Advisors or More): Thought Leadership
Ladenburg Thalmann Financial Services, Inc.
Innovation Summit
LPL Financial
Career Development Program
Securities America
NxG Conference & Coaching Program
BROKER–DEALERS (1,000 Advisors or More): Transition Support
Advisor Group
My Succession Plan Platform
Kestra Financial
Onboarding Portal
LPL Financial
Onboarding Enhancements
BROKER–DEALERS (Fewer Than 1,000 Advisors): Practice Management
Janney Montgomery Scott
Financial Refresh Campaign
Parkland Securities, LLC.
Parkland’s Management Modules
Sigma Financial Corporation
Succession Plus Program
BROKER–DEALERS (Fewer Than 1,000 Advisors): Technology
Janney Montgomery Scott
Digital Onboarding Tool
Prospera Financial Services
New Advisory Portfolio Modeling Tool
BROKER–DEALERS: Chief Marketing Officer of the Year
1st Global
Ryan George
Advisor Group
Susan Theder
USA Financial
Mark Mersman
BROKER–DEALERS: Corporate Social Responsibility/Diversity
Advisor Group
Women Forward
LPL Financial
Diversity and Inclusion Initiative
Parkland Securities, LLC
Parkland Fund
Voya Financial Advisors
Voya Cares
BROKER–DEALERS: Service
American Portfolios Financial Services, Inc.
Customer Service Support Enhancements
Edward Jones
Product Partner Insights
Janney Montgomery Scott
Simplified Fee Schedule
Parkland Securities, LLC.
Ambassador Training Program
Sigma Financial Corporation
Legacy Track System
BROKER–DEALERS: Social Media Leadership
Janney Montgomery Scott LLC
A Month of Janney Giving
LPL Financial
Digital Media Program
Sigma Financial Corporation
Social Media Study Group
COMPLIANCE/LAW FIRMS
Foreside
AdCompliance
MarketCounsel
The MarketCounsel Member Academy Series
CUSTODIANS (Established – $25B and Over): Chief Technology Officer of the Year
Apex Clearing
Chris Fesler
TD Ameritrade Institutional
Jon Patullo
CUSTODIANS (Established – $25B and Over): Social Media Leadership
Fidelity Investments
Social Media Thought Leadership Program
Pershing LLC
Social Media Spokesperson Enablement Initiative
CUSTODIANS: Corporate Social Responsibility/Diversity
Pershing LLC
Pershing’s Financial Literacy Program Advances Our Industry
TradePMR
20 for 20 Initiative
CUSTODIANS: Practice Management
BNY Mellon | Pershing
Advisor Value Propositions
Fidelity Investments
Fidelity’s Book Analysis Tool
LPL Financial
Suite of Virtual Outsourced Services
Schwab Advisor Services
Mapping the Ideal Client Journey
Shareholders Service Group
Profiles In Success Initiative
CUSTODIANS: Technology
Apex Clearing
Account Opening APIs
Fidelity Investments
Fidelity Wealthscape Integration Xchange
LPL Financial
Integrated Technology Platform
Shareholders Service Group
PreciseFP Initiative
TD Ameritrade Institutional
Veo One
CUSTODIANS: Thought Leadership
Apex Clearing
Next Investor Outlook
Fidelity Investments
M&A Education Program
Schwab Advisor Services
Transition to Independence Studies
TD Ameritrade Institutional
TD Ameritrade for Advisors: Amazon’s Alexa Skill
DISRUPTORS: Industry
AdvicePeriod
The Integrated Professional Services Firm of the Future
Finalytix, Inc.
Market Intelligence for Wealth Management
NextCapital
Personalized Retirement Advice
Orion Advisor Services, LLC
Advisor Strategy and Tax Return Optimization
SMArtX Advisory Solutions
Direct Indexing Benchmarks
Systelos
Guided Collaboration™ Platform to Inspire Behavioral Change
United Capital Financial Advisers, LLC.
FinLife 360
DISRUPTORS: Technology
Envestnet | Yodlee
Conversational AI
Ethic
Portfolio Impact Reporting
FA Match
FA Match Platform
INVENT.us
Cloud-Native Platform
ReAllocate
ReAllocate Pro
StoneCastle Cash Management, LLC
FICA For Advisors
FAMILY OFFICES: Client Initiative
Day Pitney LLP
Family Office Investing SeriesTM
JTC Private Office
Edge Portal
Key Private Bank
Expansion of Key Family Wealth Client Services
Mercer Advisors
New Client Experience
FAMILY OFFICES: Thought Leadership
Fidelity Investments
Evolving the Family Office eBook
Fiduciary Trust Company International
John Dowd Video Series
Key Private Bank
Wealth Content Kit Program & Legacy Planning Services
Mercer Advisors
InvestHERS Women’s Initiative
INDIVIDUAL RIA FIRM LEADERS: CEO of the Year
AdvicePeriod
Steve Lockshin
Archford Capital Strategies, LLC
James D. Maher
Beta Asset Management
Jodi Vleck
Carson Group
Ron Carson
Cerity Partners
Kurt Miscinski
Homrich Berg
Andy Berg
Mercer Advisors
Dave Welling
Ritholtz Wealth Management
Josh Brown
United Capital Financial Advisers, LLC.
Joe Duran
INDIVIDUAL RIA FIRM LEADERS: Innovator of the Year
Carson Group
Aaron Schaben, EVP
Mercer Advisors
Dave Barton, Vice Chairman, M&A Leader
United Capital Financial Advisers, LLC.
Joe Duran, CEO and Founder
INDIVIDUAL RIA FIRM LEADERS: Thought Leader of the Year
AdvicePeriod
Steve Lockshin, Principal
Beacon Pointe Wealth Advisors
Matthew Cooper, Partner, President
Hemington Wealth Management
Eileen O’Connor, CEO and Co-Founder
Sigma Planning Corporation
Jennifer Bacarella, Executive of SPC and Director of Firm Development
United Capital Financial Advisers, LLC.
Joe Duran, CEO and Founder
INDUSTRY RESEARCH PROVIDERS
Bloomberg Tax
Bloomberg Tax’s Estate, Gifts & Trusts Portfolios™
Chaikin Analytics
Power Gauge ETF Rating
ECHELON Partners
2018 RIA M&A Deal Report
Morningstar
Global Wide Moat Focus Index
New Constructs, LLC
The Robo-Analyst
Succession Resource Group
Annual Advisor M&A Update
INSURANCE: Service
C2P Advisory Group
Best Interest Annuity Screening Process
DPL Financial Partners
RIA Insurance Platform
PURE Insurance
Starling™ Fraud and Cyber Fraud Coverage
Security Benefit
Commission-free Fixed Index Annuity
INSURANCE: Technology
Jackson National Life Insurance Company
Digital Advisor Success Hub
Nationwide Advisory Solutions
Analytics-Driven Advisor Website
NON-CUSTODIAL RIA SUPPORT PLATFORMS
Adhesion Wealth
Adhesion Wealth Platform
Carson Group
Carson’s Simple Digital Client Experience Platform
Dynasty Financial Partners
Enterprise Group
Financial Advocates
Virtual Custom Services
SUCCESSION/OWNERSHIP TRANSITION SERVICES – NON-CUSTODIAN/BROKER DEALER
Financial Advocates
Advisor Succession M&A Insight Workshops
Hamburger Law Firm
Hamburger Law Transition Intelligence™ Program
Succession Resource Group, Inc.
Shared Growth Model Strategy
TAMPs: Model Marketplaces
Adhesion Wealth
Manager eXchange
Envestnet | PMC
Multi-Asset Strategist Due Diligence Reports
TAMPs
AssetMark
Guided Income Solutions
BNY Mellon | Lockwood
Lockwood Managed360®
First Ascent Asset Management
“First Impressions” Advisor Education Program
SMArtX Advisory Solutions
SMArtX Advisory Solutions
TECHNOLOGY PROVIDERS: Account Aggregation
eMoney Advisor, LLC
API-based Aggregation
SS&C Advent
Advent TransPort
TECHNOLOGY PROVIDERS: Alternative Investment Platforms
Artivest
Alternative Investment Platform
iCapital Network
Document Workflow Solution
Lobus
Lobus Art Platform
ReAllocate
ReAllocate Pro
SMArtX Advisory Solutions
Alternative Strategies
SS&C Advent
Geneva®
TECHNOLOGY PROVIDERS: Blockchain/Cryptocurrency
DarcMatter
Konstellation
Hydrogen
Hydrogen Platform
SS&C Advent
Geneva®
TECHNOLOGY PROVIDERS: Chief Marketing Officer of the Year
LifeYield
Jack Sharry
Orion Advisor Services
Kelly Waltrich
Snappy Kraken
Angel Gonzalez
Vestmark
Lonnie Macdonald
TECHNOLOGY PROVIDERS: Chief Technology Officer of the Year
Apex Clearing
Chris Fesler
Capitect
Greg Yee
MoneyGuide
Tony Leal
Riskalyze
Matt Pistone
Vestmark
Heeren Pathak
TECHNOLOGY PROVIDERS: Client Onboarding/New Account Opening
Agreement Express
Digital Onboarding Platform for TD Ameritrade VeoOne
Finantix
AI Gears for Wealth
IFS
Onboarding Solution
InterGen Data, Inc.
Account Opening via Amazon Alexa
Jemstep
Paperless Onboarding
Marstone
Seamless Client Onboarding
The Athene Group
Multi-Point Digital Onboarding
TECHNOLOGY PROVIDERS: Client Portals
AssetMark
Investor Portal with WealthBuilder
Black Diamond Wealth Platform
Black Diamond Client Experience
eMoney Advisor, LLC
The Client Portal How-Tos
Oranj
New Investor Portal
Scivantage
Wealthsqope Mobile
United Capital Financial Advisers, LLC.
GuideCenter®
TECHNOLOGY PROVIDERS: Compliance
InvestEdge
Middle Office Management Application
Money-ID
Wealth Certification
Orion Advisor Services
Inform Compliance Software
StratiFi Technologies Inc.
Compliance Solutions
TECHNOLOGY PROVIDERS: CRM
Redtail Technology
Redtail Speak
SS&C SALENTICA
CRM Solutions
TECHNOLOGY PROVIDERS: Cybersecurity
Entreda
Cybersecurity Platform Enhancement and Service Expansion
FCI
Cybersecurity Policy Enforcement System
Orion Advisor Services
Data Monitoring and Recovery Integration with Experian
RIA in a Box
Compliance Cybersecurity Platform
RightSize Solutions
RightSize Shield
TECHNOLOGY PROVIDERS: Digital Advisors (Robo)
Betterment for Advisors
Dimensional Funds
Marstone
Interactive Brokers and BlackRock Integration
SS&C Technologies – Institutional & Investment Management Division
Global Wealth Platform
TECHNOLOGY PROVIDERS: Document Management
Canoe Intelligence
Canoe Intelligence Platform
eMoney Advisor, LLC
Vault Drag and Drop
Laserfiche
Robotic Process Automation
Seismic Software
HomePage
TECHNOLOGY PROVIDERS: Financial Planning
Asset-Map
Asset-Map’s Integration with Orion Advisor Services
eMoney Advisor, LLC
eMoney Partner Integration
FinMason
The Five-Minute Financial Plan
InvestCloud
Digital Goals-based Financial Planning App
MoneyGuide
MoneyGuideOne and MoneyGuideElite
United Capital Financial Advisers, LLC
FinLife CX
TECHNOLOGY PROVIDERS: Innovation New Applications
280 CapMarkets
BondNav
eMoney Advisor, LLC
Voice Assistant
Finalytix, Inc.
Market Intelligence for Wealth Management
Hearsay Systems
Relate
InterGen Data, Inc.
Account Opening via Amazon Alexa
MoneyGuide
MyBlocks
NEXA Insights, LLC
Client Survey Tool
TECHNOLOGY PROVIDERS: Innovation Platforms
Advizr
Abby Mobile Workplace
BNY Mellon’s Pershing
Investor Biometric Payment Acknowledgment
CBXmarket
OASIS Platform
FA Match
The Digital Career Management Platform
INVENT.us
Cloud-Native Platform
Truvalue Labs
Spotlight ESG Event Detection Solution
YCharts
Model Portfolios
TECHNOLOGY PROVIDERS: Model Marketplaces
Adhesion Wealth
Manager eXchange
Morningstar, Inc.
Model Marketplace
Oranj
Model Marketplace
TECHNOLOGY PROVIDERS: Portfolio Management, Accounting and Performance Reporting
Black Diamond Wealth Platform
Black Diamond Client Experience
Capitect
Portfolio Architect
Informa Financial Intelligence
The Zephyr Platform
Morningstar, Inc.
Morningstar Office Cloud
The E-Valuator
Software for Fiduciaries
TECHNOLOGY PROVIDERS: Rebalancing
Black Diamond Wealth Platform
Black Diamond Rebalancer
Just Invest
Panorama Tax Smart Location Rebalancer
Morningstar, Inc.
Morningstar Total Rebalance Expert
Orion Advisor Services
Advisor Strategy and Tax Return Optimization (ASTRO)
TD Ameritrade Institutional
Options Trading on iRebal
Vestmark
Vestmark Advisory Solutions Model Trading Service (VAS MTS)
TECHNOLOGY PROVIDERS: Risk Tolerance/Client Profiling
Riskalyze
The Riskalyze Experience
StratiFi Technologies Inc.
StratiFi Prism Rating System
Totum Risk
Machine Learning
Whealthcare Planning
Quantifying Age-related Risks
TECHNOLOGY PROVIDERS: Social Media Leadership
eMoney Advisor, LLC
Advisor Branded Marketing
Hearsay Systems
Social Campaigns
Snappy Kraken
Visual Insights Digital Campaigns
TECHNOLOGY PROVIDERS: Specialized Planning Applications
eMoney Advisor, LLC
Foundational Planning
Foundation Source
Excise Tax Calculator
United Capital Financial Advisers, LLC.
FinLife 360
Whealthcare Planning
Whealthcare Planning Platform
TECHNOLOGY PROVIDERS: Thought Leadership
eMoney Advisor, LLC
Information Security in the Digital Era
eMoney Advisor, LLC
2018 FlexGen Study
InvestmentPOD
Disrupting TAMPs White Paper
Panoramix
Industry Content Series
Systelos
Guided Collaboration™ Platform to Inspire Behavioral Change
Whealthcare Planning
Whealthcare Academy and Education Center
TECHNOLOGY PROVIDERS: Unified (all-in-one) Systems
FIS
Wealth Management Platform
Morningstar, Inc.
Morningstar Office Cloud
TECHNOLOGY PROVIDERS: Wealth Reporting / Personal Finance Managers
Envestnet | Yodlee
AI FinCheck App
Wealth Access, Inc.
PFM – Enterprise Deployment
TRUSTS
Fiduciary Trust of New England
Expanding Access to NH Trusts
Key Private Bank
Enhanced Trust Services