This category will honor individuals who excel at financial and investment innovation by leading the creation of new financial products, services, or processes that meet advisor and investor client needs, while delivering efficiency and competitive advantages to industry players via new platforms and other tools. Ideal candidates have focused on bringing new products, services and processes to market that result in strong user satisfaction and retention and that, at the same time, give their firms additional revenue streams. Such efforts might include spearheading work on new products and industry tools that: demonstrate unique, out-of-the-box thinking (aka a “wow” factor), improve back-end infrastructures, automate compliance or other key activities, integrate new types of tax or other critical financial information, elevate internal development processes to a standard that could be externalized in future, and transform financial services via digitization or other technological processes.

This category will honor firms that excel at financial and investment innovation by creating new financial products, services, or processes which meet advisor and investor client needs, while delivering efficiency and competitive advantages to industry players via new platforms and other tools. Ideal candidates have brought new products, services and processes to market that give their firms additional revenue streams and, at the same time, result in strong user satisfaction and retention. Such efforts might include building new products and industry tools that: demonstrate unique, out-of-the-box thinking (aka a “wow” factor), improve back-end infrastructures, automate compliance or other key activities, integrate new types of tax or other critical financial information, and elevate  internal development processes to a standard that could be externalized in future, and transform financial services via digitization or other technological processes.

This category will honor those working to better understand, shape and improve industry practices, as well as those who strive to educate advisors and investors in timely and informative ways to improve client outcomes. It is open to professionals conducting valuable research and leading educational efforts across a variety of platforms -- social media, online apps, videos, podcasts, white papers, etc. -- that are focused on topics such as behavioral finance, retirement income, ESG and other topics. Influential to many, these nominees relentlessly support the industry’s efforts to educate both advisors and clients in beneficial ways that improve financial security, retirement security, financial literacy and related efforts. 

Open to firms making outstanding efforts to better understand and train new and existing industry participants -- including advisors, as well as their investor clients through their programs, products and services. We also will honor companies at the forefront of areas like behavioral finance, retirement income, ESG and other innovative topics and which are producing independent research and tools to help the industry connect new understanding with practical applications and positive impacts for all investors and communities. These efforts should include (but are not limited to) valuable research, new approaches and educational outreach that encompass social media, online apps, videos, podcasts, white papers, etc., and that seek to improve financial security or have other broad impacts.

Economic, regulatory, technological and other issues are influencing the industry landscape as never before, making leadership and its responsiveness critical. This category acknowledges those leading and guiding key decisions, including strategy, product development, hiring, dealmaking and organic business growth, the use of technology and more, in successful, innovative and dynamic ways. It will recognize those making the decisions that matter most in this fast-changing environment and that support bold strategies producing both quantitative and qualitative results for their practices, teams, firms and the broader financial-services community. 

Open to organizations that can demonstrate they are truly changing the industry in innovative and dynamic ways through their growth strategies, product development efforts, hiring, use of technology and other steps. Through their programs, products and services, these firms are taking impressive and unique steps that produce quantitative and qualitative results for their practices, teams, organizations and the broader financial services community.

Open to those professionals leading community-focused efforts that serve as role models of both excellence and demonstrable impact. Ideal candidates have put into practice innovative approaches and partnerships that serve charitable aims and produce meaningful philanthropic results.

These efforts can include specific policies, programs and philanthropic efforts that: incorporate financial professionals’ skills, knowledge and strengths within their respective local communities; demonstrate how they are giving back in related areas tied to financial wellness and literacy; and/or advance diversity, equity & inclusion (DEI) within the financial services industry and the broader community that it serves. 

Open to those firms leading community-focused efforts that serve as role models of both excellence and demonstrable impact with demonstrable (and replicable) results. Ideal firm candidates have put into practice innovative approaches and partnerships that serve charitable aims and produce meaningful philanthropic results.

These efforts can include specific policies, programs and philanthropic efforts that: incorporate financial professionals’ skills, knowledge and strengths within their respective local communities; demonstrate how they are giving back in related areas tied to financial wellness and literacy; and/or advance diversity, equity & inclusion (DEI) within the financial services industry and the broader community that it serves.