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2016 Industry Awards Finalists2016 Industry Awards Finalists
October 17, 2016
16 Min Read
| For more information on the 2016 Industry Awards Event |
| 401(k) Retirement Plan Support Services: | ||
|---|---|---|
| Envestnet Envestnet Retirement Services (ERS) | Pershing Pershing's Retirement Plan Network | TD Ameritrade Institutional TD Ameritrade Retirement Plan |
| 401(k) Retirement Plan Support Services Technology: | ||
| Betterment for Business Betterment for Business | CircleBlack Compliant & Fiduciary Advice on Clients' 401(k)'s | The Advisor Lab, a PCS company 401(k) Reporting and Benchmarking Center |
| Asset Managers - Alternatives: | ||
| 361 Capital The New Core Allocation: Long/Short Equity | Flexible Plan Investments, Ltd. All-Terrain strategies | |
| Corporate Social Responsibility/Diversity: | ||
| Charles Schwab Investment Management CSIM’s Women’s Advancement Initiatives | Sheridan Road Charitable Foundation | |
| Socially Responsible Investing (SRI)/Impact Investing: | ||
| Flexible Plan Investments Ltd For A Better World strategy | Envestnet Envestnet's Impact Investing Platform | Athena Capital Advisors LLC Social Finance and the Postmodern Portfolio: Theory and Practice |
| Asset Manager - Social Media Leadership: | ||
| Atlantic Trust Social Media Leadership | Eaton Vance The Advisory Blog | 361 Capital Balanced Social Media Approach |
| Aberdeen Asset Management 10 Golden Rules/7 Deadly Sins Campaign | J.P. Morgan Funds Dare to Compare | |
| Asset Managers - ETF Strategists: | ||
| Capital Wealth Planning, LLC CWP ETF Hedged Covered Call Strategy | CLS Investments Outcome Based Investment Approach | ETF Model Solutions LLC Enhanced Benchmark for Today's Portfolios |
| Asset Managers - ETFs: | ||
| John Hancock Investments ETF Research and Education Portal | Charles Schwab Investment Management Fundamental Index ETFs | |
| Asset Managers - Equities: | ||
| RidgeWorth Investments New Fund Launch: RidgeWorth Capital Innovations Global Resources and Infrastructure Fund | Blackrock Minimum Volatility Challenge Tool | |
| Asset Managers - Fixed Income: | ||
| Blackrock New Price Yield Calculator for Fixed Income ETFs | Eaton Vance Laddered Investing Interest Rate Scenario Tool | Neuberger Berman Dynamic Sector Allocation Chart for NB Strategic Income Fund |
| Asset Managers - Real Estate (including REITs): | ||
| Cole Capital Advisor Educational Resources: FINRA 15-02 | Inland Real Estate Investment Corporation Financial Advisor Education | |
| Asset Managers - Separate Accounts: | ||
| Eaton Vance Custom Beta | Pershing Lockwood - Managed360 | Natixis Retirement Spending Account |
| Envestnet Quantitative Portfolios (QPs) | ||
| Asset Manager - Thought Leadership - Product: | ||
| Fidelity Investments Portfolio Construction Thought Leadership Program | T. Rowe Price MarketScene App for Financial Advisors | BlackRock iRetire: Retirement Income Technology for Advisors |
| John Hancock Investments John Hancock Investments - Market Intelligence | ||
| Asset Manager - Thought Leadership Education: | ||
| Goldman Sachs EMPOWER | Guggenheim Investments Guggenheim Investments - Thought Leadership | Cohen & Steers Investor Education |
| Transamerica Unlocking Social Security: The Keys to Making Your Benefits Work for You | Aberdeen Asset Management Asset Manager - Thought Leadership | State Street Global Advisors Addressing the Value Equation |
| Broker/Dealers (less than 1,000 Advisors) - Social Media Leadership: | ||
| NEXT Financial Group Helping Advisors Obtain Business Through Social Media | Wedbush Securities Wedbush Social Media Engagement Campaign | |
| Broker/Dealers (less than 1,000 Advisors) - Transition Support: | ||
| The Investment Center Full Service Transition Program | NEXT Financial Group Making the Transition Easier | Summit Brokerage eLaunch |
| Broker/Dealers (less than 1,000 Advisors) - Service: | ||
| NEXT Financial Group Advisor Training and Coaching Program - ELITE (Essential Lessons for Investment Training Excellence) | CUNA Brokerage Services Honors & Advisor Academy Training | Summit Brokerage Summit Concierge Services (SCS) |
| Broker/Dealers (less than 1,000 Advisors) - Technology: | ||
| Summit Brokerage MyDashboard | Janney Montgomery Scott LLC Financial Aggregation | Wealthforge Online Private Placements |
| Broker/Dealers (less than 1,000 Advisors) - Practice Management: | ||
| The Investment Center Advisor Marketing Coaching Program | NEXT Financial Group NEXT Portfolio Services - A Solution to the DoL Rule | |
| Broker/Dealers (1,000+ Advisors) - Corporate Social Responsibility/Diversity: | ||
| Commonwealth Financial Network Birthday Wishes | Voya Financial Advisors Voya Financial Awards Scholarship for Veterans and Their Spouses | |
| Broker/Dealers (1,000+ Advisors) - Practice Management: | ||
| Securities America Next Level with Revenue Diagnostic | Voya Financial Advisors Hybrid Registered Investment Advisory (RIA) Platform | Cetera Wealth Management Education Platform |
| Broker/Dealers (1,000+ Advisors) - Technology: | ||
| Commonwealth Financial Network 1-Click Review | Ladenburg Thalmann $ymbil | Securities America New Business Solutions |
| Raymond James Client Reporting | Edward Jones Two-way Texting with Clients | |
| Broker/Dealers (1,000+ Advisors) - Service: | ||
| Kestra Financial Effortless Experience | Cetera RightBRIDGE | |
| Broker/Dealers - Thought Leadership: | ||
| Charles Schwab The Schwab ETF OneSource 2016 ETF Industry Outlook | Sigma Financial C-ID Program | |
| Compliance/Law Firms: | ||
| RIA in a Box Launch of New MyRIACompliance RIA Compliance Software | MarketCounsel MarketCounsel Summit | |
| Custodians (Emerging - Less Than $25 Billion) - Technology: | ||
| Betterment Institutional Betterment Institutional | Millennium Trust Company MAIN | Shareholder Service Group SSG Technology and Advisors Advantage Program |
| Custodians ($25 Billion or More) Corporate Social Responsibility/Diversity: | ||
| Charles Schwab: Schwab Advisor Services RIA Talent Advantage Recruitment Playbook | TDAmeritrade NextGen Initiative | |
| Custodians ($25 Billion Or More) - Practice Management: | ||
| Charles Schwab: Schwab Advisor Services Schwab Advisor Services Insight to Action Program – Creating a Referral Culture (CRC) | TD Ameritrade Institutional Driving Business Performance Through Efficiency | Fidelity Investments Fidelity Research and Insights Provide Advisors with Greater Transparency on M&A and Succession Planning |
| Custodians ($25 Billion Or More) - Transition Support: | ||
| Pershing LLC, a BNY Mellon Company Strategic Banking and Liability Management Solutions to Manage Clients’ Wealth | TD Ameritrade Institutional TD Ameritrade Transition Services | Pershing Advisor Solutions LLC Bulk eSignature |
| Custodians ($25 Billion Or More) - Technology: | ||
| Pershing, a BNY Mellon company Pershing’s Retirement Plan Network | TD Ameritrade Institutional Veo Open Access | |
| Custodians ($25 Billion or More) - Custodian Social Media Leadership: | ||
| TDAmeritrade Human Finance Project | SEI Practically Speaking – SEI Social Media Program | |
| Custodians ($25 Billion or More) - Custodian Thought Leadership: | ||
| TD Ameritrade Institutional RIA Industry Advocacy | Fidelity Investments Fidelity Helps Industry Build an Army of eAdvisors | Pershing, a BNY Mellon company "Women: Investing with a Purpose" Thought Leadership Campaign |
| SEI SEI Thought Leadership Program | ||
| Disruptors - Technology: | ||
| Hearsay Social Hearsay Social: Empowering Advisors in the Digital Age | Artivest Artivest Platform Enables Financial Advisors to Better Serve HNW with Private Alts | RAGE Frameworks, Inc. LiveWealth - Active Advising |
| Disruptors - Industry: | ||
| Eaton Vance NextShares | XY Planning Network XY Planning Network | United Capital Financial Advisers, LLC. FinLife Partners Platform |
| Envestnet Envestnet's Unified Platform | ||
| Family Offices - Thought Leadership: | ||
| Fidelity Investments Fidelity Provides Research and Insights on Family Office Executive Compensation | Athena Capital Advisors LLC Social Finance and the Postmodern Portfolio: Theory and Practice | Atlantic Trust Family Office Thought Leadership |
| Industry Associations: | ||
| RIIA The View Across the Silos | Financial Services Institute FSI CoveredAdvisor Plan | IMCA New IMCA Applied Behavioral Finance Certificate Program |
| Hedge Funds/Private Equity: | ||
| Artivest Artivest Private Equity Access Funds | CAIS CAIS strengthens partnership with Fidelity to offer increased access to PE and hedge funds; adds Mercer institutional PE from Mercer to platform | SmartVision by eVestment Leading Global Provider of Hedge Fund data. |
| iCapital FinTech platform enabling advisor access to private equity and hedge fund investments, Research about SFO investments in private equity | ||
| Insurance Service: | ||
| Chubb New Class of Personal Insurance | Transamerica Financial Planning in the Shadow of Dementia | |
| Insurance Technology: | ||
| MetLife Interactive Income Tool | PURE Insurance PURE CyberSafe Solutions | Sammons Retirement Solutions Inc. PracticeWellTM Adviser Success Strategies Program |
| Investment Banks/Lenders/Succession Planning Consultants: | ||
| ECHELON Partners Equity Glide Path Program, Buyer Preparation Program | Live Oak Bank Advisor to Owner: Enabling internal succession | PFI Advisors, LLC PFI Advisors' M&A Support Services |
| TAMPs: | ||
| Dynasty Financial Partners Dynasty TAMP platform | SEI ProcessWise - SEI's Integrated Workflow Program | AssetMark, Inc. Investing Evolved |
| Envestnet Envestnet's Platform | Buckingham Asset Management Planning Center | |
| Trusts: | ||
| TD Ameritrade Institutional Advisors Private Wealth Trust | Atlantic Trust Trust | Fiduciary Trust Company Creation of a boutique trust company that offers comprehensive wealth management services |
| Account Aggregation: | ||
| SS&C Advent Black Diamond True Client-Ready Data | Quovo Integrations & Enhanced Client Portal | Morningstar ByAllAccountsSM Personal Financial Management Portal for Advisors |
| Envestnet Envestnet | Yodlee | ||
| Client Portals: | ||
| eMoney Advisor Innovation – New Application and Innovation - Platform | SS&C Advent Black Diamond Investor Experience - Boundary-Bending Client Portal | Citrix ShareFile Portfolio Accounting Integration |
| Oranj Oranj Interactive Client Portal | Wealth Access, Inc. Aggregated Client Reporting | |
| Compliance: | ||
| BasisCode Compliance Software Platform for Compliance Consultants | Patrina Corporation Patrina Compliance Suite | First Rate, Inc. ExecView - Managing Oversight of Client Outcomes Firm-wide |
| Entreda Software Platform for Compliance Consultants | ||
| Corporate Social Responsibility/Diversity: | ||
| First Rate, Inc. First Rate Living - Making an Impact with Corporate Values | Morningstar Morningstar Research Report: Fund Managers by Gender | |
| Technology Providers - CRM: | ||
| Junxure Junxure Cloud CRM Enhancements | Grendel Custom Object Creation | Salesforce Transforming the Client-Advisor Relationship for the Digital Age with Salesforce Financial Services Cloud |
| Digital Advisors (Robo): | ||
| Betterment Betterment | Advisor Software, Inc. Advisor Software Digital Advisor | NextCapital New User Interface With Unreached Levels of Personalization |
| Riskalyze Autopilot | FolioDynamix FolioDynamix/VisX Solutions: Integrating a 'robo' offering in a single platform with UMA, SMA, MF/ETF and Rep as Manager accounts | |
| Financial Planning: | ||
| PIEtech, Inc. myMoneyGuide Planning Experience | FIS WealthStation Client Web Tools | Advizr Advizr Platform |
| Advicent Solutions NaviPlan & Figlo: Financial Planning | Envestnet Envestnet | Finance Logix | |
| Document Management: | ||
| Albridge Albridge PDF Capture | Laserfiche ECM Laserfiche 10 | Seismic Seismic Workspace: The Virtual Document Collaboration Platform for Advisors |
| Innovation - New Applications | ||
| Laserfiche ECM Laserfiche Business Process Library | Retiree Income Income Solver Fills Retirement Income Gap in Advice | Vestmark Vestmark Manager Marketplace |
| Advicent Solutions Narrator Connect | Tradeweb Direct Portfolio Solutions from Tradeweb Direct | |
| Innovation - Platform: | ||
| eMoney Advisor eMoney Platform | Hearsay Social Hearsay Social: Empowering Advisors in the Digital Age | Advizr Advizr Platform |
| Enterprise Engineering, Inc. EEI's FS-API - the first API tailored to the Financial Services Industry | Entreda Unify for RIAs, B-Ds and B-D Reps - Automated Cybersecurity Governance, Risk and Compliance (GRC) Platform and service | |
| Portfolio Management, Accounting and Performance Reports: | ||
| Orion Advisor Services Orion Business Intelligence | Albridge Performance Web Service Calls | Fiserv, Inc Fiserv Develops New Technology Solutions to Support Rep-Driven Managed Account Programs on its Core Unified Wealth Platform |
| Envestnet | Tamarac Envestnet | Tamarac Advisor View | Broadridge Financial Solutions, Inc. New Offering: A Complete Investment Management Solution from the Global Leader in Financial Operations | FolioDynamix FolioDynamix |
| Rebalancing: | ||
| TD Ameritrade Institutional iRebal | Envestnet | Tamarac Envestnet | Tamarac Advisor Rebalancing | Wealthminder Wealthminder Rebalancing Features |
| MyVest Advanced Tax-Aware Rebalancing | Tradeweb Direct Portfolio Solutions from Tradeweb Direct | |
| Risk Tolerance/Client Profiling: | ||
| FinaMetrica Risk Tolerance Tool | Riskalyze Riskalyze | |
| Technology Social Media Leadership: | ||
| Hearsay Social Hearsay Social: Predictive Social Media Technology for Advisors | Smarsh Smarsh: The Archiving Platform: Support for More Social Media Content Types | |
| Technology Thought Leadership: | ||
| Orion Advisor Services Fuse Developer's Conference | First Rate, Inc. Client Engagement Thought Leadership | Morningstar Financial Services Observer: The U.S. Department of Labor's Fiduciary Rule for Advisors Could Reshape the Financial Sector |
| Junxure 'Advisory Leadership', by Greg Friedman, MS, CFP | Pershing, a BNY Mellon company Advantages of the Emerging Digital Advisor | |
| Wealth Reporting/Personal Financial Managers: | ||
| Oranj Oranj Enhanced Analytics Notifications | Wealth Access, Inc. PFM for Advisors | CircleBlack Modern Technology for Tracking and Reporting on Client Holdings |
| Envestnet Envestnet | Yodlee | ||