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