Technology Providers (Compliance)

With a focused vision on ensuring investors ’ wealth and retirement accounts are managed with a fiduciary standard of care, Fi360 helps financial intermediaries use prudent fiduciary practices to profitably gather, grow and protect investors ’ assets. Since 1999, the firm has provided financial professionals with the education, designations, training and tool s necessary to act as a fiduciary in their work with investors. Fi360 is the home of the Accredited Investment Fiduciary® (AIF® ) designation, the Fiduciary Focus Toolkit ™ and the Fi360 Fiduciary Score®. Fi360 is also the parent company of Ann Schleck & Co. and CEFEX. Learn more at


Fiduciary Focus Toolkit™

Fi360 ’ s Fiduciary Focus Toolkit ™ software enables financial professionals to automate advisor workflows and have oversight of fiduciary best practices. Advisors and broker-dealers a re tasked with a new set of challenges when creating investment policy statements and arc hiving the documentation required to meet a fiduciary standard . To overcome these challenges, the Fiduciary Focus Toolkit ™ allows the home office to guide advisors as they adopt and create investment policy statements, investment watch-list criteria, client monitoring reports and perform other essential fiduciary-related activities.

The Fiduciary Focus Toolkit ™ helps to address the following four major challenges: (1) scaling advisor practices, (2) liability mitigation, (3) improved oversight and (4) business development support. The toolkit scales advisor practices through automation of investment policy statement (IPS) creation and plan/account monitoring; ultimately allowing advisors and associated support staff to manage more business with the same headcount. The software mitigates liability via defined workflows, standardized IPSs/watch-lists, and documentation of activities and decisions. Advisor and managerial level oversight is enhanced through automation, significantly reducing manual compliance tasks; as well as potentially reducing the need to hire additional resources in lieu of increased regulation. Finally, the Fiduciary Focus Toolkit™ offers business development support from leverage of documented fiduciary practice s with new clients.

We ’ re passionate about helping financial intermediaries profitably implement prudent fiduciary practices.

Category Finalists

Key Business Leader

John Faustino, AIF®
Chief Product and Strategy Officer

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