Important Disclosures regarding Industry Awards our Advisors may have earned.
Barron's Top 100 Institutional Consulting Teams
The teams in the ranking were evaluated on a range of criteria, including institutional investment assets overseen by the team, the revenue generated by those assets, the number of clients served by the team, and the number of team members and their regulatory records. Also considered were the advanced professional designations and accomplishments represented on the team. The rating is not indicative of the Advisor’s past or future performance. Neither the firm nor the Advisor pay a fee to Barron's in exchange for the rating. In 2023, there were 147 pre-qualified applicants. 100 were ultimately selected.
In 2022, there were 162 pre-qualified applicants. 100 were ultimately selected.
Financial Advisor's Top RIA Rankings 2022 - 4th Largest RIA
FA’s RIA survey is a ranking based on assets under management at year end of independent RIA firms that file their own ADV with the SEC. FA’s RIA ranking orders firms from largest to smallest, based on AUM reported to us by firms that voluntarily complete and submit FA's survey by our deadline. We do our best to verify AUM by reviewing ADV forms. To be eligible for the ranking, firms must be independent registered investment advisors and file their own ADV statement with the SEC and provide financial planning and related services to individual clients. Firms must have at least $500 million in assets under management as of December 31, 2021 to be included in the print edition of Financial Advisor magazine’s 2022 RIA survey. Firms with under $500 million will be included in the FA’s expanded online RIA survey. 534 Firms completed the survey and they are all on the ranking. There is no fee. The award is not indicative of Advisor’s performance. All information is checked against the SEC website for accuracy.
Financial Advisor's Top RIA Rankings 2021 - 4th Largest RIA
FA’s RIA survey is a ranking based on assets under management at year end of independent RIA firms that file their own ADV with the SEC. FA’s RIA ranking orders firms from largest to smallest, based on AUM reported to us by firms that voluntarily complete and submit FA's survey by our deadline. We do our best to verify AUM by reviewing ADV forms. To be eligible for the ranking, firms must be independent registered investment advisors and file their own ADV statement with the SEC and provide financial planning and related services to individual clients. Firms must have at least $500 million in assets under management as of December 31, 2020 to be included in the print edition of Financial Advisor magazine’s 2021 RIA survey. Firms with under $500 million will be included the FA’s expanded online RIA survey. 607 firms completed the survey. There is no fee. The award is not indicative of Advisor’s performance. All information is checked against the SEC website for accuracy.
The Financial Times 401 Top Retirement Advisors 2020
The Financial Times 401 Top Retirement Advisors is an independent listing produced annually by Ignites Research, a division of Money-Media, Inc., on behalf of the Financial Times (October 2020). The FT 401 is based on data gathered from advisors, regulatory disclosures, and the FT’s research. The listing reflects each advisor’s status in six primary areas: DC plan assets under advisement (AUA), DC AUA growth rate, specialization in DC plans, years of experience, advanced industry credentials and compliance record. A total of 855 advisors applied for the award, of which 401 were selected (47%). This award is not indicative of the advisor’s future performance. Neither the advisors nor their parent firms pay a fee to the Financial Times in exchange for inclusion in the FT 401.
The Financial Times 401 Top Retirement Advisors 2019
The Financial Times 401 Top Retirement Advisors is an independent listing produced annually by the Financial Times (October 2019). The FT 401 is based on data gathered from advisors, regulatory disclosures, and the FT’s research. The listing reflects each advisor’s status in six primary areas: DC plan assets under management, DC plan growth rate, specialization in DC plans, years of experience, advanced industry credentials, and compliance record. Among the top factors in scoring, DC plan assets accounted for roughly 60 to 65 per cent of each adviser’s score, on average. Another 12 to 18 per cent of the score derived from the growth in the adviser’s DC business (as measured in both DC assets and number of DC plans advised). This year, to emphasize long-term client satisfaction, a three-year growth rate was used instead of the one- and two-year growth rates that were used in the past. Out of 700 applications; approximately 57% received the award. This honor is not indicative of the advisor’s future performance. Neither the advisors nor their parent firms pay a fee to the Financial Times in exchange for inclusion in the FT 401.
The Financial Times 401 Top Retirement Advisors 2018
The Financial Times 401 Top Retirement Advisors is an independent listing produced annually by the Financial Times (September 2018). The FT 401 is based on data gathered from advisors, regulatory disclosures, and the FT’s research. The listing reflects each advisor’s status in six primary areas: DC plan assets under management, DC plan growth rate, specialization in DC plans, years of experience, advanced industry credentials, and compliance record. Out of 678 applications; about 59% of which (401) received the award. This honor is not indicative of the advisor’s future performance. Neither the advisors nor their parent firms pay a fee to the Financial Times in exchange for inclusion in the FT 401.
The Financial Times 401 Top Retirement Advisors 2017
The Financial Times 401 Top Retirement Plan Advisors is an independent listing produced annually by the Financial Times (September 2017). The FT 401 is based on data gathered from advisors, regulatory disclosures, and the FT’s research. The listing reflects each advisor’s status in seven primary areas: DC plan assets under management (AUM), DC AUM growth rate, specialization in DC plans, years of experience, advanced industry credentials, compliance record and DC plan participation rate. This honor is not indicative of the advisor’s future performance. Neither the advisors nor their parent firms pay a fee to the Financial Times in exchange for inclusion in the FT 401. For the 2017 FT 401 ranking, the FT received about 550 applications. Only advisors who complete an application can be considered for the ranking. Please also note, only advisors who meet a minimum set of criteria are invited to apply: manage at least $50 million in assets under management in DC plans (as of 12/31/16); and have DC plan assets account for at least 20% of total AUM. 401 advisors are selected to the list, which is approximately 73% of applicants.
The Financial Times 401 Top Retirement Advisors 2016
The Financial Times 401 Top Retirement Plan Advisors is an independent listing produced by the Financial Times (September 2016). To qualify as a candidate for the FT 401, an advisor must: manage at least $75 million in assets under management in DC plans; and have DC plan assets account for at least 20% of total AUM. Once an advisor applies, The Financial Times score seach applicant on seven different factors to arrive at the final list. Those factors are: DC assets under management (AUM); Growth in DC plan business; Specialization in DC business; Years of experience; Industry certifications; Participation rate in DC plans; Compliance record. The FT 401 is based on data gathered from financial advisors, regulatory disclosures, and the FT’s research. The FT 401 ranking highlights the top defined contribution (DC) plan advisors across the U.S. In 2016, The Financial Times had over 540 pre-qualified advisors apply; 401 (74%) were named to the final list. This award does not evaluate the quality of services provided to clients and is not indicative of this advisor’s future performance. Neither the advisors nor their parent firms pay a fee to Financial Times in exchange for inclusion in the FT 401. The FT 401 ranking is produced by the Financial Times and Ignites Research, a subsidiary of the FT.
Five Star Wealth Manager Award 2012-2018
The Five Star Wealth Manager award, administered by Crescendo Business Services, LLC (dba Five Star Professional), is based on 10 objective criteria. Eligibility criteria – required: 1. Credentialed as a registered investment adviser or a registered investment adviser representative; 2. Actively licensed as a registered investment adviser or as a principal of a registered investment adviser firm for a minimum of 5 years; 3. Favorable regulatory and complaint history review (As defined by Five Star Professional, the wealth manager has not; A. Been subject to a regulatory action that resulted in a license being suspended or revoked, or payment of a fine; B. Had more than a total of three settled or pending complaints filed against them and/or a total of five settled, pending, dismissed or denied complaints with any regulatory authority or Five Star Professional’s consumer complaint process. Unfavorable feedback may have been discovered through a check of complaints registered with a regulatory authority or complaints registered through Five Star Professional’s consumer complaint process; feedback may not be representative of any one client’s experience; C. Individually contributed to a financial settlement of a customer complaint; D. Filed for personal bankruptcy within the past 11 years; E. Been terminated from a financial services firm within the past 11 years; F. Been convicted of a felony); 4. Fulfilled their firm review based on internal standards; 5. Accepting new clients. Evaluation criteria – considered: 6. One-year client retention rate; 7. Five-year client retention rate; 8. Non-institutional discretionary and/or non-discretionary client assets administered; 9. Number of client households served; 10. Education and professional designations. Wealth managers do not pay a fee to be considered or placed on the final list of Five Star Wealth Managers. Award does not evaluate quality of services provided to clients. Once awarded, wealth managers may purchase additional profile ad space or promotional products. The Five Star award is not indicative of the wealth manager’s future performance. Wealth managers may or may not use discretion in their practice and therefore may not manage their client’s assets. The inclusion of a wealth manager on the Five Star Wealth Manager list should not be construed as an endorsement of the wealth manager by Five Star Professional or this publication. Working with a Five Star Wealth Manager or any wealth manager is no guarantee as to future investment success, nor is there any guarantee that the selected wealth managers will be awarded this accomplishment by Five Star Professional in the future. For more information on the Five Star award and the research/selection methodology, go to fivestarprofessional.com. 1,588 Indianapolis area wealth managers were considered for the award; 149 (9 percent of candidates) were named 2018 Five Star Wealth Managers. 2017: 1,164 considered, 182 winners; 2016: 1,083 considered, 332 winners; 2015: 1,743 considered, 348 winners; 2014: 2,009 considered, 360 winners; 2013: 1,624 considered, 413 winners; 2012: 1,375 considered, 387 winners.
NAPA Top DC Advisor Firms
Established in 2017, nominees had to be individual advisor team/offices with a defined contribution book of business. To be considered, firms had to submit responses to an application form, including information about their practices, notably their defined contribution (DC) assets under advisement. The list is created and conducted by the National Association of Plan Advisors, an affiliate organization of the American Retirement Association, a non-profit association. No fee is charged to participate. The rating is not indicative of the nominee’s future performance. Teams are ranked by assets under advisement, self-reported by advisor firm/teams. Approximately 300 submissions were received and 250 were selected.”
2024 NAPA Top DC Advisor Team
Established in 2017, nominees had to be individual advisor team/offices with a defined contribution book of business. To be considered, firms had to submit responses to an application form, including information about their practices, notably their defined contribution (DC) assets under advisement. Teams must have at least $100 million in AUA to be included. The list is based exclusively on self-reported AUA. The list is created and conducted by the National Association of Plan Advisors, an affiliate organization of the American Retirement Association, a non-profit association. No fee is charged to participate. The rating is not indicative of the nominee’s future performance. Approximately 452 submissions participated in the ranking. 452 were named to the final ranking.
2022 NAPA Top DC Advisor Team
Established in 2017, nominees had to be individual advisor team/offices with a defined contribution book of business in a single physical location. To be considered, firms had to submit responses to an application form, including information about their practices, notably their defined contribution (DC) assets under advisement. The list is created and conducted by the National Association of Plan Advisors, an affiliate organization of the American Retirement Association, a non-profit association. In 2022, 438 applications were submitted and 430 were on the final list. The rating is not indicative of the Advisor’s future performance. No fee is charged to participate.
2021 NAPA Top DC Advisor Teams
Established in 2017, nominees had to be individual advisor team/offices with a defined contribution book of business. To be considered, firms had to submit responses to an application form, including information about their practices, notably their defined contribution (DC) assets under advisement. The list is created and conducted by the National Association of Plan Advisors, an affiliate organization of the American Retirement Association, a non-profit association. No fee is charged to participate. The rating is not indicative of the nominee’s future performance. Approximately 340 submissions were received and 332 were selected.
2020 NAPA Top DC Advisor Teams
Established in 2017, nominees had to be individual advisor team/offices with a defined contribution book of business, in a single physical location. To be considered, firms had to submit responses to an application form, including information about their practices, notably their defined contribution (DC) assets under advisement. The list is created and conducted by the National Association of Plan Advisors, an affiliate organization of the American Retirement Association, a non-profit association. No fee is charged to participate. The rating is not indicative of the nominee’s future performance. This year there were 305 submissions, with 300 on the final list.
2019 NAPA Top DC Advisor Teams
Established in 2017, nominees had to be individual advisor team/offices with a defined contribution book of business. To be considered, firms had to submit responses to an application form, including information about their practices, notably their defined contribution (DC) assets under advisement. The list is created and conducted by the National Association of Plan Advisors, an affiliate organization of the American Retirement Association, a non-profit association. No fee is charged to participate. The rating is not indicative of the nominee’s future performance. Teams are ranked by assets under advisement, self-reported by advisor firm/teams. Approximately 282 submissions were received and 265 were selected.
2018 NAPA Top DC Advisor Teams
Established in 2017, nominees had to be individual advisor team/offices with a defined contribution book of business. To be considered, firms had to submit responses to an application form, including information about their practices, notably their defined contribution (DC) assets under advisement. The list is created and conducted by the National Association of Plan Advisors, an affiliate organization of the American Retirement Association, a non-profit association. No fee is charged to participate. The rating is not indicative of the nominee’s future performance. Teams are ranked by assets under advisement, self-reported by advisor firm/teams. Approximately 279 submissions were received and 257 were selected.
2017 NAPA Top DC Advisor Teams
Established in 2017, nominees had to be individual advisor team/offices with a defined contribution book of business. To be considered, firms had to submit responses to an application form, including information about their practices, notably their defined contribution (DC) assets under advisement. The list is created and conducted by the National Association of Plan Advisors, an affiliate organization of the American Retirement Association, a non-profit association. No fee is charged to participate. The rating is not indicative of the nominee’s future performance. Teams are ranked by assets under advisement, self-reported by advisor firm/teams. Approximately 300 submissions were received and 275 were selected.
NAPA Top 100 Plan Advisors Under 40: 2023 and 2024
Established in 2014, the list of “Aces” is drawn from nominations provided by NAPA Broker-Dealer/RIA Firm Partners and vetted by a blue-ribbon panel of senior advisor industry experts based on a combination of quantitative and qualitative data submitted by the nominees, as well as a broker-check review. One of the first of NAPA’s standard-setting industry lists, many of the individuals who have been recognized here have gone on to become the very industry leaders this recognition was designed to help identify.
In 2023, 268 applicants were received. 100 were ultimately selected.
In 2024, 536 nominations were received, and from that, 268 completed the application. 100 were ultimately selected.
NAPA's Top Plan Advisors Under 40: Top Retirement Plan Advisors Under 40: 2018, 2019, 2020, 2021 and 2022
Nominations from the list were provided by NAPA Broker-Dealer/RIA Firm Partners. Nominees had to be retirement plan advisors with their own book of business, and had to be less than 40 years of age (born after January 1, 1977).
Nominees are required to submit responses to an application comprised of a series of quantitative and qualitative questions about their experience, size and composition of their practice, awards and recognitions, and industry contributions, which were then reviewed by a panel of senior advisor industry experts, who, based on those criteria, and following a broker-check review, selected the top young advisors. The list is created and conducted by the National Association of Plan Advisors, an affiliate organization of the American Retirement Association, a non-profit association. No fee is charged to participate. The rating is not indicative of the applicant’s future performance.
In 2018, we received 588 nominations, and from that, 300 completed the application - 100 on the final list;
In 2019, we received 684 nominations, and from that, 292 completed the application - 100 on the final list;
In 2020, we received 738 nominations, and from that, 292 completed the application - 100 on the final list;
In 2021, we received 501 nominations, and from that, 249 completed the application - 100 on the final list;
In 2022, we received 603 nominations, and from that, 249 completed the application - 100 on the final list.
NAPA Young Guns: Top Retirement Plan Advisors Under 40: 2017
Nominations from the list were provided by NAPA Broker-Dealer/RIA Firm Partners. Nominees had to be retirement plan advisors with their own book of business, and had to be less than 40 years of age (born after January 1, 1977.)
Nominees were required to submit responses to an application comprised of a series of quantitative and qualitative questions about their experience, size and composition of their practice, awards and recognitions, and industry contributions, which were then reviewed by a panel of senior advisor industry experts, who, based on those criteria, and following a broker-check review, selected the top young advisors. The list is created and conducted by the National Association of Plan Advisors, an affiliate organization of the American Retirement Association, a non-profit association. No fee is charged to participate. The rating is not indicative of the applicant’s future performance
In 2017, 510 nominations were received. 75 were ultimately selected.
NAPA Young Guns: Top Retirement Plan Advisors Under 40: 2016
Nominations from the list were provided by NAPA Broker-Dealer/RIA Firm Partners. Nominees had to be retirement plan advisors with their own book of business, and had to be less than 40 years of age (born after January 1, 1977.)
Nominees were required to submit responses to an application comprised of a series of quantitative and qualitative questions about their experience, size and composition of their practice, awards and recognitions, and industry contributions, which were then reviewed by a panel of senior advisor industry experts, who, based on those criteria, and following a broker-check review, selected the top young advisors. The list is created and conducted by the National Association of Plan Advisors, an affiliate organization of the American Retirement Association, a non-profit association. No fee is charged to participate. The rating is not indicative of the applicant’s future performance
In 2016, 515 nominations were received. 50 were ultimately selected.
NAPA Young Guns: Top Retirement Plan Advisors Under 40: 2015
Nominations from the list were provided by NAPA Broker-Dealer/RIA Firm Partners. Nominees had to be retirement plan advisors with their own book of business, and had to be less than 40 years of age (born after January 1, 1977.)
Nominees were required to submit responses to an application comprised of a series of quantitative and qualitative questions about their experience, size and composition of their practice, awards and recognitions, and industry contributions, which were then reviewed by a panel of senior advisor industry experts, who, based on those criteria, and following a broker-check review, selected the top young advisors. The list is created and conducted by the National Association of Plan Advisors, an affiliate organization of the American Retirement Association, a non-profit association. No fee is charged to participate. The rating is not indicative of the applicant’s future performance
In 2015, 489 nominations were received. 50 were ultimately selected.
NAPA Young Guns: Top Retirement Plan Advisors Under 40: 2014
Nominations from the list were provided by NAPA Broker-Dealer/RIA Firm Partners. Nominees had to be retirement plan advisors with their own book of business, and had to be less than 40 years of age (born after January 1, 1977.)
Nominees were required to submit responses to an application comprised of a series of quantitative and qualitative questions about their experience, size and composition of their practice, awards and recognitions, and industry contributions, which were then reviewed by a panel of senior advisor industry experts, who, based on those criteria, and following a broker-check review, selected the top young advisors. The list is created and conducted by the National Association of Plan Advisors, an affiliate organization of the American Retirement Association, a non-profit association. No fee is charged to participate. The rating is not indicative of the applicant’s future performance
In 2014, 121 nominations were received. 50 were ultimately selected.
NAPA Top Women Advisors: 2023
Established in 2015, nominations from the list were provided by NAPA Broker-Dealer/RIA Firm Partners. Nominees had to be women, had to be retirement plan advisors with their own book of business. Nominees were required to submit responses to an application comprised of a series of quantitative and qualitative questions about their experience, size and composition of their practice, awards and recognitions, and industry contributions, which were then reviewed by a panel of senior advisor industry experts, who, based on those criteria, and following a broker-check review, selected the top women advisors.
Within the group of top women advisors, those who were principals, owners or team captains of their organizations were designated as “Captains.”
The list is created and conducted by the National Association of Plan Advisors, an affiliate organization of the American Retirement Association, a non-profit association. No fee is charged to participate. The rating is not indicative of the nominee’s future performance.
In 2023, we received 544 nominations, 261 applications, from which 50 captains, 50 all-stars and 19 Rising Stars were chosen.
NAPA Top Women Advisors: 2020
Established in 2015, nominations from the list were provided by NAPA Broker-Dealer/RIA Firm Partners. Nominees had to be women, had to be retirement plan advisors with their own book of business. Nominees were required to submit responses to an application comprised of a series of quantitative and qualitative questions about their experience, size and composition of their practice, awards and recognitions, and industry contributions, which were then reviewed by a panel of senior advisor industry experts, who, based on those criteria, and following a broker-check review, selected the top women advisors.
Within the group of top women advisors, those who were principals, owners or team captains of their organizations were designated as “Captains.”
The list is created and conducted by the National Association of Plan Advisors, an affiliate organization of the American Retirement Association, a non-profit association. No fee is charged to participate. The rating is not indicative of the nominee’s future performance.
In 2020, 550 nominations were received, and 270 applications were considered, with 125 in the final ranking. There were 50 Captains, 50 All-Stars, and 25 Rising Stars on the final list.
NAPA Top Women Advisors: 2019
Established in 2015, nominations from the list were provided by NAPA Broker-Dealer/RIA Firm Partners. Nominees had to be women, had to be retirement plan advisors with their own book of business. Nominees were required to submit responses to an application comprised of a series of quantitative and qualitative questions about their experience, size and composition of their practice, awards and recognitions, and industry contributions, which were then reviewed by a panel of senior advisor industry experts, who, based on those criteria, and following a broker-check review, selected the top women advisors.
Within the group of top women advisors, those who were principals, owners or team captains of their organizations were designated as “Captains.”
The list is created and conducted by the National Association of Plan Advisors, an affiliate organization of the American Retirement Association, a non-profit association. No fee is charged to participate. The rating is not indicative of the nominee’s future performance.
In 2019, 502 nominations were received, and 209 were considered. There were 50 Captains, 50 All-Stars, and 19 Rising Stars on the final list.
NAPA Top Women Advisors: 2017
Established in 2015, nominations from the list were provided by NAPA Broker-Dealer/RIA Firm Partners. Nominees had to be women, had to be retirement plan advisors with their own book of business. Nominees were required to submit responses to an application comprised of a series of quantitative and qualitative questions about their experience, size and composition of their practice, awards and recognitions, and industry contributions, which were then reviewed by a panel of senior advisor industry experts, who, based on those criteria, and following a broker-check review, selected the top women advisors.
Within the group of top women advisors, those who were principals, owners or team captains of their organizations were designated as “Captains.”
The list is created and conducted by the National Association of Plan Advisors, an affiliate organization of the American Retirement Association, a non-profit association. No fee is charged to participate. The rating is not indicative of the nominee’s future performance.
In 2017 587 nominations were received and 201 were considered. 50 Captains, 50 All-Stars and 10 Rising Stars were selected.
NAPA Top Women Advisors: 2016
Established in 2015, nominations from the list were provided by NAPA Broker-Dealer/RIA Firm Partners. Nominees had to be women, had to be retirement plan advisors with their own book of business. Nominees were required to submit responses to an application comprised of a series of quantitative and qualitative questions about their experience, size and composition of their practice, awards and recognitions, and industry contributions, which were then reviewed by a panel of senior advisor industry experts, who, based on those criteria, and following a broker-check review, selected the top women advisors.
Within the group of top women advisors, those who were principals, owners or team captains of their organizations were designated as “Captains.”
The list is created and conducted by the National Association of Plan Advisors, an affiliate organization of the American Retirement Association, a non-profit association. No fee is charged to participate. The rating is not indicative of the nominee’s future performance.
In 2016 395 nominations were received and 191 were considered. 50 Captains, 50 All-Stars and 10 Rising Stars were selected.
2024 PLANADVISER Emerging Leaders Award
The PLANADVISER Emerging Leaders recognition is given to members of the retirement plan advisory industry whose managers and peers believe are poised to advance the profession in the future.
To be considered, potential recipients must be nominated and have worked in the retirement plan advisory industry for at least three years, but no more than 10. The award is open to individuals across all areas of the business—advising, operations, client relations, data, participant education, etc.
The rating is not indicative of the Advisor’s past or future performance. Neither the firm nor the Advisor pay a fee to PLANADVISER in exchange for the rating. In 2024, there were 81 applicants. 30 were ultimately selected.
PLANADVISER Top 100 Retirement Plan Advisers 2024
To be listed, advisers had to have a minimum requirement of 50 plan clients or retirement plan assets under advisement of $400 million or more.
After meeting the minimum plan or asset count, advisers are highlighted if they have what was designated as a special focus in any particular plan type. This means, 91% – 100% of clients that are 401(k) plan sponsors, or 10 or more 403(b), 457, nonqualified, DB, cash balance, SEP, SIMPLE or MEP/PEP plan clients.
A total of 296 Retirement Plan Advisers submitted entries to be considered for this list of Top Advisers and from that list, 263 Retirement Plan Advisers were selected. Neither advisory firms nor their employees pay a fee in exchange for this award. The rating is not indicative of the adviser’s future performance.
PLANADVISER Top 100 Retirement Plan Advisers 2022
The PLANADVISER Top Retirement Plan Advisers recognition is based solely on self-reported quantitative data about an adviser’s practice, including number of retirement plan assets under advisement, number of plans under advisement, and percentage of business coming from defined benefit, 403(b), nonqualified plans and other plan types.
Because this recognition is based solely on quantitative figures, there is no judging or subjective measurement. The period used for consideration for award recognition is typically the previous calendar year. The Top Retirement Plan Advisers are selected by choosing the approximate top third of advisers that submit entries annually. Minimum Criteria for consideration: Majority of business conducted is in retirement plans, and acceptable compliance record.
In 2022 there were 340 applicants. 160 were ultimately selected. Neither advisory firms nor their employees pay a fee in exchange for this award. The rating is not indicative of the applicant’s future performance.
PLANADVISER Top 100 Retirement Plan Advisers 2021
Each year, PLANADVISER magazine recognizes the top quantitative standouts from its Retirement Plan Adviser Survey with the Top 100 Retirement Plan Advisers awards. Top 100 designees are named according to the dollar value of qualified plan assets under advisement, as well as the number of plans under advisement.
To become eligible for this quantitative listing, advisers must complete the annual PLANADVISER Retirement Plan Adviser Survey, fielded each September. Respondents are divided into categories for evaluation, defined by the number of advisers, plus support staff, in the practice. In 2021, the firms fall under the following headings: individual adviser—meaning one adviser and support staff; small team—a group of two or more advisers and support staff, the total not exceeding 10; large team—a group of 11 through 35 advisers and support staff; and mega teams—36 or more team members in all.
In 2021, there were 472 applicants, and 100 were ultimately selected. No fee is charged to participate. The rating is not indicative of the applicant’s future performance.
PLANADVISER Top 100 Retirement Plan Advisers 2020
The “PLANADVISER Top 100 Retirement Plan Advisers” 2020 list is compiled from responses to the PLANADVISER Retirement Plan Adviser Survey. The list is drawn solely from a set of quantitative variables and information in the survey supplied by the advisers themselves. For an adviser to be eligible for recognition in this year’s Top 100, s/he had to submit a completed entry to our 2020 Retirement Plan Adviser Survey, which was fielded this past September.
The Top 100 Retirement Plan Advisers is segmented into four groups based on the number of advisers and number of total employees including support staff: individual adviser, meaning one adviser with support staff; small team, a group of two or more advisers and support staff, the total not exceeding 10; large team, a group of 11 to 35 advisers and support staff; and mega teams, 36 or more team members. To qualify for a particular segment, individuals needed to advise a minimum of 110 plans or $900 million in retirement plan AUA; small teams had to advise at least $1.8 billion in retirement plan assets or 130 plans; large teams needed $4 billion or more in retirement plan AUA or 175 or more plans; and mega teams had to oversee at least $12 billion in retirement plan AUA or 250 plans.
A sub-segment of the questions was used to determine eligibility for the Top 100. In 2019, 684 nominations were received, and from that 292 were named to the list. The rating is not indicative of the investment adviser's future performance; and a fee was not paid to participate in the survey.
PLANADVISER Top 100 Retirement Plan Advisers 2019
The 2019 PLANADVISER Top 100 Retirement Plan Advisers recognizes the top defined contribution (DC) plan advisers across the U.S in terms of assets or plans under advisement. In 2018, 321 survey responses to the PLANADVISER Retirement Plan Adviser Survey elected to be considered for the Top 100 recognition. Of those, 100 (31%) were named to the list. The Top 100 rating, created and conducted by PLANADVISER, is not indicative of the investment adviser's future performance and no adviser pays, or is paid a fee, to take part in the program.
PLANADVISER Top 100 Retirement Plan Advisers 2018
The 2018 PLANADVISER Top 100 Retirement Plan Advisers recognizes the top defined contribution (DC) plan advisers across the U.S in terms of assets or plans under advisement. In 2017, 341 survey responses were collected for the PLANADVISER Retirement Plan Adviser Survey, from which the list is generated. Of those, 100 (29%) were named to the list. The Top 100 rating, created and conducted by PLANADVISER, is not indicative of the investment adviser's future performance and no adviser pays or is paid a fee to take part in the program.
PLANSPONSOR Retirement Plan Adviser of the Year 2019
The 2019 PLANSPONSOR Retirement Plan Adviser of the Year award recognizes advisers that demonstrate leadership and a commitment to excellence for their retirement plan sponsor clients and participants. To qualify as a finalist, advisers were selected using a qualitative and quantitative methodology. Advisers that are selected as finalists must have a significant majority of business revenue derived from employer-sponsored retirement plans; serve as a fiduciary; have regular service delivery and client contact; and be committed to fee-based compensation. Advisers are evaluated based on their use of specific outcome-based metrics of plan success with clients, and recognized client progress toward those metrics. Advisers are judged on a qualitative basis by a panel of judges including members of PLANSPONSOR and PLANADVISER editorial teams and previous adviser winners of the awards.
In 2018, there were 284 nominations representing 160 different advisers and advisory practices. Of those, 84 advisers/adviser practices submitted adequate responses to be eligible for consideration for the PLANADVISER Retirement Plan Adviser Survey. Of those, 16 (19%) were named as finalists for the award across four categories: individual, small team, large team, and mega team. The PLANSPONSOR Retirement Plan Adviser of the Year award, created and conducted by PLANSPONSOR and PLANADVISER, is not indicative of the investment adviser's future performance and no adviser pays, or is paid a fee, to take part in the program.
PLANSPONSOR Retirement Plan Adviser of the Year 2017
The PLANSPONSOR Retirement Plan Adviser of the Year includes winners across four categories: individual, small team, large team and mega team. Judges look for advisory practices that employ industry best practices across a number of areas, including the implementation of auto enrollment, auto escalation and re-enrollment, especially at higher levels than the industry norms. Advisers that are successful in the award program need to demonstrate a commitment to outcomes-based measurement and encourage plan sponsor clients to create plans not that are just in the best interest of the company but are in the best interest of participants. In 2017, out of 100 qualifiers for the PLANADVISER Top 100 Retirement Plan Advisers, 4 received this award, 1 each in the individual, small team, large team and mega team categories. This award does not evaluate the quality of services provided to clients and is not indicative of future performance. Neither the advisors nor their parent firms pay a fee to PLANSPONSOR in exchange for the Retirement Plan Adviser of the Year award.
PLANSPONSOR Retirement Plan Team of the Year 2015
Nominated by industry professionals and selected based on quantitative evaluation of service levels and feedback from plan sponsor clients. Advisors who have attained the PLANSPONSOR Retirement Professional Designation receive an automatic nomination. In 2015, to be eligible to be a finalist, advisers had to meet the following minimum criteria: having a majority of business revenue derived from employer-sponsored retirement plans, serving as a fiduciary, being committed to fee-based compensation and using outcome-based metrics of plan success with clients. Neither the advisors nor their parent firms pay a fee to the PLANSPONSOR in exchange for inclusion in the 2015 PLANSPONSOR Retirement Plan Adviser of the Year. In 2015, there were three PLANSPONSOR Retirement Plan Adviser of the Year winners from 156 adviser entries. This award does not evaluate the quality of services provided to clients and is not indicative of this advisor’s future performance
