Best of the Best 2023

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*NOTE: Company descriptions are effective as of the date of nomination submission (February – May 2023). For updated facts and figures since that timeframe, please contact the nominated company.

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WELCOME TO THE BEST OF THE BEST 2023! The Wealth Management Industry Awards program recognizes the year’s best business initiatives meant to help financial advisors and investment managers build successful businesses and better guide their clients toward a secure and rewarding future.

These initiatives come in many different businesses, including asset management firms, custodians, brokerages, technology companies, valuation consultants, legal professionals and, increasingly from RIA firms themselves.

They come in many different forms, including technology platforms, new products, operational tools, research reports, podcasts, and events.

Every year firms that participate in the awards program submit descriptions and documentation about their most recent initiatives (or upgrades to existing programs). A team of independent judges, each with expertise in different areas of the financial advisory ecosystem, goes through every submission and selects the ones that stand out as being most useful to advisors and beneficial to advisors’ clients. They vote for a winner, which is revealed at our annual gala.

While it’s nice to be a winner, all the finalists are worthwhile and, in different ways, move the ball forward for financial advisors. And all of them are included in this guide.

For advisors and wealth management executives—or even those looking for a broad snapshot of developments in the space—we think this volume represents a unique catalog of the year’s best programs and tools you may want to consider. The ambition is to inspire more innovation from these providers and vendors for the benefit of the wealth management industry overall. Not every initiative here is right for every advisory team, of course. But even if the program simply provides a spark of interest that helps improve your business and results in better outcomes for your clients—we will consider it a success.

David Armstrong Director of Editorial Strategy & Operations

Diversity, Equity and Inclusion Nationwide Financial - Retirement Institute

ADVISOR SUPPORT PLATFORMS Office Of Supervisory Jurisdiction (OSJS) Affiliated Advisors

Fixed Income Fidelity Investments PIMCO Rockefeller Asset Management

31 32 33

Registered Investment Advisors (RIAs) Bluespring Wealth Partners

12 13 14 15 16 17

Goals-based Investing Platforms Franklin Templeton Nebo by GMO

Carson Group Carson Group Dynasty Financial Partners Private Advisor Group RFG Advisory

34 35

New Product Development DLP Capital Kestra Investment Management

36 37

Thought Leadership BlackRock CION Investments FlexShares Exchange Traded Funds (Managed by Northern Trust) Kestra Investment Management J.P. Morgan

38 39 40

ASSET MANAGERS Alternative Investments Franklin Templeton

41 42

Charitable Giving/Donor Advised Funds Fiduciary Trust Company Schwab Charitable Chief Marketing Officer of the Year Cambiar Investors Nuveen Investments Prosperity Capital Advisors

20 21

BROKERS-DEALERS Chief Executive Officer of the Year

22 23 24

44 45

Concorde Investment Services Osaic, previously Advisor Group

Chief Experience Initiative FS Investments J.P. Morgan

25 26

Chief Technology Officer of the Year LPL Financial Raymond James

46 47

Digital Marketing Campaign of the Year FS Investments

Digital Marketing Campaign of the Year Cambridge Investment Research, Inc. Concorde Investment Services Prospera Financial Services

48 49 50

Direct Indexing Neuberger Berman Parametric

28 29

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Diversity, Equity and Inclusion Cambridge Investment Research, Inc. Cetera Cetera Financial Group Janney Montgomery Scott

Technology J.P. Morgan Wealth Management Janney Montgomery Scott Raymond James Thought Leadership Cambridge Investment Research, Inc. Cetera Financial Group Osaic, previously Advisor Group

51 52 53 54 55 56 57 58 59 60 61 62 63 64 65 66 67 68 69 70 71 72 73 74 75 76 77

78 79 80

LPL Financial LPL Financial

81 82 83

Prospera Financial Services Sigma Financial Corporation Stifel Independent Advisors

Transition Support Cetera Financial Group Janney Montgomery Scott Kestra Financial Prudential Financial Sigma Financial Corporation

84 85 86 87 88

Practice Management Cambridge Investment Research, Inc. Cetera Financial Group Commonwealth Financial Network Hornor, Townsend & Kent, LLC (HTK) Kestra Financial LPL Financial Raymond James Regal Financial Group Sigma Financial Corporation Service Atria Wealth Solutions Avantax Wealth Management Commonwealth Financial Network Kestra Financial LPL Financial Osaic, previously Advisor Group Prospera Financial Services Raymond James Sigma Financial Corporation

COMPLIANCE/LAW FIRMS Kupfer & Associates, PLLC MarketCounsel Consulting

90 91

CORPORATE SOCIAL RESPONSIBILITY Cambridge Investment Research, Inc. Cetera Janney Montgomery Scott John Hancock Investment Management

93 94 95 96

CONTINUED

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CUSTODIANS Practice Management BNY Mellon | Pershing Fidelity Investments

INDIVIDUAL RIA FIRM LEADERS Chief Executive Officer of the Year Integrated Partners Merit Financial Advisors NewEdge Wealth Chief Marketing Officer of the Year Choreo, LLC Mercer Advisors Robertson Stephens Wealth Management Chief Technology Officer of the Year Mercer Advisors Merit Finanancial Advisors Robertson Stephens

98 99

115 116 117

Thought Leadership Apex Fintech Solutions Fidelity Investments

100 101

118 119 120

Technology Apex Fintech Solutions

102

121 122 123

DISRUPTORS Industry Advisor Circle BridgeFT

104 105

Innovator of the Year Mercer Advisors NewEdge Advisors

124 125

Technology BridgeFT Guardian Mineral Management & Consulting Orion Advisor Solutions

106 107 108

M&A Leader of the Year Carson Group Mercer Advisors Merit Financial Advisors Thought Leader of the Year Carson Group Mercer Advisors

126 127 128

129 130

FAMILY OFFICES

Thought Leadership Bank of America

110

Thought Leadership Key Private Bank (KPB) NewEdge Wealth Rockefeller Global Family Office

111 112 113

INDUSTRY RESEARCH PROVIDERS The American College of Financial Services The American College of Financial Services

132 133

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Broker-Dealers – Wealth and Retirement Integration Cambridge Investment Research, Inc. Osaic, previously Advisor Group UBS DCIO Providers – Advisor Value Added Programs Franklin Templeton Stadion Money Management In-plan Retirement Income - Product or Service Allianz Life Insurance Company of North America

INSURANCE Jackson National Life Insurance Modern Life

151 152 153

135 136

154 155

MARKETING | PR FIRMS Digital Campaign of the Year FiComm Partners Intention.lyModern Life

138 139

156

PR Campaign of the Year FiComm Partners Haven Tower Group

Record Keepers – Retirement Plan Advisor Support

140 141

157 158 159

John Hancock John Hancock Nationwide

Retirement income Allianz Life TruStage

RETIREMENT PLAN SUPPORT AND ADVISOR SERVICES

160 161

401(k) Service Candidly

143 144 145

intellicents LeafHouse

TAMPs Model Marketplaces Amplify Technology, LLC SMArtX Advisory Solutions The Pacific Financial Group

401(k) Technology Candidly Fidelity Investments Leafhouse

146 147 148

163 164 165

Aggregators – Chief Executive Officer of the Year Marsh McLennan Agency Strategic Retirement Partners

TAMPs GeoWealth

149 150

CONTINUED

166

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Chief Marketing Officer of the Year CAIS Docupace Nitrogen Snappy Kraken

188 189 190 191

TECHNOLOGY PROVIDERS

Account Aggregation BlueLeaf Wealth Inc. Wealth Access

168 169

Client Onboarding/New Account Opening Apex Fintech Solutions Orion Advisor Solutions

192 193

Alternative Investment Platforms +SUBSCRIBE Broadridge Financial Solutions, Inc. CAIS iCapital

170 171 172 173

Client Portals AssetBook Mirador, Inc. Wealth Access

194 195 196

Artificial Intelligence Atlas Point

174

Compliance Orion Advisor Solutions

197 198 199 200

Business Support Systems | Workflow Automation eMoney Advisor Panoramix

SIGNiX Smarsh Smartria

175 176

CRM Orion Advisor Solutions Wealth Hub

Cash Optimization Flourish

201 202

177

Chief Executive Officer of the Year Apex Fintech Solutions Asset-Map CAIS iCapital Mirador, Inc. Nitrogen Smarsh Snappy Kraken Vestwell Wealth Access

Direct Indexing Charles River Development Orion Advisor Solutions Vestmark, Inc.

178 179 180 181 182 183 184 185 186 187

203 204 205

Diversity, Equity and Inclusion Apex Fintech Solutions Broadridge

206 207

Document Management Laserfiche Wealth Access

208 209

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Innovation New Applications FP Alpha Nitrogen

Risk Tolerance/Client Profiling Andes Wealth Technologies

236

210 211 212 213 214 215 216 217 218 219 220

Securities-based Lending Goldman Sachs Private Bank Select

Orion Advisor Solutions Summit Wealth Systems VRGL, Inc.

237

Specialized Planning Applications Bento Engine Special Needs Map Vanilla Wealth.com Thought Leadership Advisor360° Asset-Map eMoney Finance of America Reverse, LLC (FAR) Invent Nitrogen Snappy Kraken

238 239 240 241

Innovation Platforms BridgeFT Elements Technology, Inc Envestnet Halo Investing Invent.us Vanilla Marketing Automation Catchlight FMG Suite Orion Advisor Solutions Snappy Kraken

242 243 244 245 246 247 248

221 222 223 224

Model Marketplaces Charles River Development

Unified (all-in-one) Systems Envestment MyVest Orion Advisor Solutions

249 250 251

225

Portfolio Analytics InvestSuite Zephyr

226 227

Portfolio Management, Accounting, & Performance Reporting Leafhouse

228

TRUSTS

253 254

Bank of America Fiduciary Trust of New England

Rebalancing intelliflo MyVest SmartX Advisory Solutions VestMark Retirement Income Broadridge IncomeConductor Panoramix

229 230 231 232

233 234 235

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ADVISOR SUPPORT PLATFORMS

2023 FINALISTS

• Affiliated Advisors • Bluespring Wealth Partners • Carson Group • Dynasty Financial Partners • Private Advisor Group • RFG Advisory

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ADVISOR SUPPORT PLATFORMS Office of Supervisory Jurisdiction (OSJs)

AFFILIATED ADVISORS

Launched in 2022, the Affiliated Advisors Thought Leadership Program is a series of practice management white papers and case studies of highly successful advisors. We commissioned industry research to identify the most important topics that contribute to advisors’ success. Our White Paper Series provides advisors with practical insights and strategies for managing their businesses more effectively, covering topics such as changing broker-dealers, succession planning, and building client connections. Thought Leadership Program

Our Profiles in Success feature interviews with some of our most accomplished advisors, sharing their personal stories to inspire others in the industry. Together, these resources support advisors in achieving greater success and providing better service to their clients. These initiatives are part of our broader effort to help independent advisors build the practices of their dreams.

Affiliated Advisors is a team of experienced and innovative industry experts with a passion and mission to help solo advisors and emerging teams through a dedicated service and support platform. Founded almost 30 years ago by industry veteran Rita Robbins, Affiliated Advisors’ award-winning suite of marketing, technology, compliance, service, financial planning, practice management and succession planning resources is helping nearly 100 financial advisors grow and better manage their advisory businesses. We are proud of our network of versatile advisors across the country which represents over $3 billion of assets under administration. Ninety percent of our team is women, and our executive team spans three generations. Offering a tailored and diverse approach, our mission is to help independent advisors build the practices of their dreams.

www.affiliatedadvisors.com

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*NOTE: Company descriptions are effective as of the date of nomination submission (February – May 2023). For updated facts and figures since that timeframe, please contact the nominated company.

ADVISOR SUPPORT PLATFORMS Registered Investment Advisors (RIAs)

BLUESPRING WEALTH PARTNERS

Blueprint for Growth

The Bluespring ‘Blueprint for Growth’ program is a Business-to-Consumer (B2C) Organic Growth Engine designed to supplement and optimize a firm’s existing business development efforts while also building awareness for their brand within local markets. The program will amplify a firm’s core drivers of organic growth through industrial strength advisor marketing and campaigns, AI-supported lead optimization, and comprehensive sales and marketing coaching for both financial professionals and client-facing associates. This

integrated combination of support will give Bluespring Wealth Partners firms the tools they need to capitalize on new avenues for growth while improving their skills as rainmakers for their business and creating a culture of referral and growth.

Bluespring Wealth Partners is dedicated to the acquisition and support of best-in-class wealth management firms and their teams. The model was established with the express purpose of helping entrepreneurs take their business to the next level of growth through industry-leading consulting resources – like marketing, technology and operations – flexible ownership arrangements and institutional capital support. Bluespring empowers firm owners to elevate their business without sacrificing their entrepreneurial spirit, founding principles or long-term vision. We also offer support related to operations and transition planning. In this way, Bluespring acts as a force multiplier for these firms, allowing them to focus on what they do best: help their clients. At the end of the day, we are building an exclusive RIA community, connecting high quality firms with investors who need fiduciary-based advice.

www.bluespringwealth.com

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*NOTE: Company descriptions are effective as of the date of nomination submission (February – May 2023). For updated facts and figures since that timeframe, please contact the nominated company.

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ADVISOR SUPPORT PLATFORMS Registered Investment Advisors (RIAs)

CARSON GROUP

Marketing Monitor

Marketing Monitor is a digital marketing analytics dashboard that partner firms use to aggregate and view KPIs like website visits, social media engagements, email open rates, ranked organic keywords, paid conversions, etc. This product is the first-of-its-kind in the industry because it allows advisors to see data from multiple marketing platforms such as Google Analytics, Facebook, LinkedIn, SalesForce Marketing Cloud, and Search Engine Marketing Counsel in real- time and all in one place. It offers a

holistic view of marketing performance and saves advisors time from having to pull manually from multiple platforms. The dashboards offer a 360-degree view of partner performance to Carson’s marketing team, empowering them to make data-driven decisions that net real, trackable results around key metrics like brand awareness and lead conversion.

Founded in 1983 by Ron Carson and headquartered in Omaha, Nebraska, Carson Group serves financial advisors and investors through its three businesses – Carson Wealth, Carson Coaching, and Carson Partners. Carson Group has created an ecosystem dedicated to helping financial advisors unleash the full potential of their firms by providing marketing, compliance, technology, investment strategies, succession planning, M&A support, and coaching. The company currently manages $30 billion in assets and serves more than 47,000 families among its advisory network of 147 partner offices, including 52 Carson Wealth locations. For more information, visit www.carsongroup.com.

www.carsongroup.com

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*NOTE: Company descriptions are effective as of the date of nomination submission (February – May 2023). For updated facts and figures since that timeframe, please contact the nominated company.

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ADVISOR SUPPORT PLATFORMS Registered Investment Advisors (RIAs)

CARSON GROUP

For 20 years, the industry has been talking about the underrepresentation of women in wealth management. This year, Carson took a three-pronged approach to actually doing something: 1. Excell REPRESENT: A first-of-its- kind industry event 2. The State of Women in Wealth Management Report: Quantitative/qualitative study of the experiences of women in the profession that uncovered hidden insights about the causes of (and solutions to) underrepresentation 3. Partnership with Rock the Street Wall Street. Carson’s Women in Wealth Management

culture is unapologetically committed to empowering women and 2022 was about expanding that perspective outside of company walls to set a precedent within the industry.

www.carsongroup.com

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*NOTE: Company descriptions are effective as of the date of nomination submission (February – May 2023). For updated facts and figures since that timeframe, please contact the nominated company.

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ADVISOR SUPPORT PLATFORMS Registered Investment Advisors (RIAs)

DYNASTY FINANCIAL PARTNERS

The transition journey is one of the most critical times during an advisor’s move to independence. Dynasty Financial Partners has spent the last 12 years building and refining our Transition Process to provide a proprietary combination of integrated solutions. Our comprehensive and proven transition process guides advisors in all steps involved in transitioning their business and building their new brand. The Dynasty Transition team has built a propriety project management system Transition to Independence

to use a technology platform to assist in managing a launch. A dedicated quarterback and project manager are assigned to each transition. This technology, combined with white-glove service from our team of seasoned experts, offers our partners a business solution that ensures a successful launch of their new firm.

Dynasty Financial Partners is known for assisting advisors of integrity to better service their clients, run their businesses more profitably, grow faster, and enhance the enterprise value of their firms. Dynasty does this by providing wealth management and technology platforms for select independent financial advisory firms. Dynasty creates access to valuable resources and industry-leading capabilities through an open-architecture WealthTech platform, enabling advisors to address their clients’ needs and to protect and grow their wealth. Dynasty supports independent advisors and their teams in being independent, but not alone, by creating exclusive community events and experiences. Dynasty also offers access to flexible capital solutions to help advisors expand, scale, and grow their business. Dynasty’s core principle is “objectivity without compromise,” and the firm is committed to developing solutions that allow investment advisors to act as true fiduciaries to their clients.

Dynastyfinancialpartners.com

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*NOTE: Company descriptions are effective as of the date of nomination submission (February – May 2023). For updated facts and figures since that timeframe, please contact the nominated company.

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ADVISOR SUPPORT PLATFORMS Registered Investment Advisors (RIAs)

PRIVATE ADVISOR GROUP

Advisor Alignment & Equity Program

In March/2022, Private Advisor Group introduced its Advisor Alignment & Equity Program to provide advisors an opportunity to invest in its collective success through participation in a jointly owned Growth Partnership entity. Participants sell a portion of revenue—typically from 10%-20%—for upfront cash and equity; they gain access to additional working capital to fund growth opportunities in areas such as continuity/succession planning, hiring,

marketing and M&A. Participants receive a review of short- and long-term business goals and an assessment of practice plans, expenses, and business health. Participation is voluntary; advisors maintain independence and operational control of their businesses. This program provides advisors with direct economic interest in the overall Private Advisor Group community and serves to elevate and expand the value of their practice.

Founded in 1997 in Morristown, NJ, Private Advisor Group is one of the nation’s leading financial services firms. With over $25 billion in assets under management as of December 31, 2022, the firm leverages its resources to deliver strategies positioned to improve financial outcomes for individual investors—and to inspire growth, fiduciary adherence, succession, and a client-centric approach for independent financial advisors’ practices. Barron’s has recognized Private Advisor Group as a top-ten registered investment advisory firm since 2019. From solo practitioners to large firms and other RIAs and wealth managers looking to wind down operations, Private Advisor Group is on a mission to form meaningful relationships with advisors, inspire entrepreneurs to build successful independent businesses and change the lives of everyday investors. Through its various affiliation models—including acquisitions, tuck-ins and traditional advisor recruiting— Private Advisor Group supports and solves challenges that are unique to every advisory business.

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*NOTE: Company descriptions are effective as of the date of nomination submission (February – May 2023). For updated facts and figures since that timeframe, please contact the nominated company.

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ADVISOR SUPPORT PLATFORMS Registered Investment Advisors (RIAs)

RFG ADVISORY

Transition Playbook

The Transition Playbook is our comprehensive Advisor Transition Support Program optimizing the Advisor transition experience by providing Independent Financial Advisors customized support during the transition process, and empowering them to conquer their fears and manage their time. The program includes: Comprehensive Account Transition Services with a dedicated transition team utilizing custom- developed technology and our Transition Playbook hosted on a customized Sharepoint

site. Personalized brand creation and website development, including logo, client-facing materials, press release, advertising, My Why video creation, social media content, and photography. Fully-integrated technology platform implementation, including hardware, office network and communication setup, data integration, cybersecurity protocols, and training support with a dedicated Practice Development Specialist Team. Award-winning RFG Assist Program providing team members on a allocation for Administrative and Financial Planning support.

We are obsessed with helping our Advisors build their practices. Everything we do is to help independent Financial Advisors build enterprise value on their balance sheet, engage in meaningful one-to-one relationships with their clients, and grow their firms. We bring a fierce commitment to a warrior mindset and a servant heart. We are a client experience company first. A technology company second. And hybrid RIA third. When you let RFG power your practice, you unleash your full potential—to earn more, to live more richly, to work where you want, be more balanced, to prioritize your time. Focused on amplifying independence, Advisors who affiliate with RFG Advisory maintain all of the equity in their business and pay a basis point fee for access to RFG investment and technology platform.

www.rfgadvisory.com

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*NOTE: Company descriptions are effective as of the date of nomination submission (February – May 2023). For updated facts and figures since that timeframe, please contact the nominated company.

Asset Managers

2023 FINALISTS

• BlackRock • Cambiar Investors • CION Investments • DLP Capital • Fidelity Investments • Fiduciary Trust Company • FlexShares Exchange Traded Funds (Managed by Northern Trust) • Franklin Templeton • FS Investments

• J.P. Morgan • Kestra Investment Management • Nationwide Financial - Retirement Institute • Nebo by GMO • Neuberger Berman • Nuveen Investments • Parametric • PIMCO • Prosperity Capital Advisors • Rockefeller Asset Management • Schwab Charitable

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*NOTE: Company descriptions are effective as of the date of nomination submission (February – May 2023). For updated facts and figures since that timeframe, please contact the nominated company.

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ASSET MANAGERS Alternative investments

FRANKLIN TEMPLETON

Launched in November 2022, Franklin Templeton Academy’s Alternatives Education program is a robust learning suite that helps financial professionals expand their knowledge of alternative investments and navigate the growing space with confidence. The program offers a comprehensive curriculum, including courses on understanding the alternatives market and the roles that asset classes like private equity, real estate, private credit, infrastructure, and hedged strategies play in portfolio construction. A variety of program modalities are offered to create a personalized learning Alternatives Education Program

experience, including in-person and on-site classes, interactive webinars, self-paced e-learning modules, and pre- recorded video. Background sheets and workbooks are offered to supplement the learning experience. Course content is developed by experts in the alternatives industry and eligible for CE credit, at no cost to the learner.

Franklin Resources, Inc. [NYSE:BEN] is a global investment management organization with subsidiaries operating as Franklin Templeton and serving clients in over 155 countries. Franklin Templeton’s mission is to help clients achieve better outcomes through investment management expertise, wealth management and technology solutions. Through its specialist investment managers, the company offers specialization on a global scale, bringing extensive capabilities in fixed income, equity, alternatives and multi-asset solutions. With offices in more than 30 countries and approximately 1,300 investment professionals, the California-based company has over 75 years of investment experience and approximately $1.4 trillion in assets under management as of February 28, 2023.

www.franklintempleton.com

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*NOTE: Company descriptions are effective as of the date of nomination submission (February – May 2023). For updated facts and figures since that timeframe, please contact the nominated company.

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ASSET MANAGERS Charitable Giving / Donor Advised Funds

FIDUCIARY TRUST COMPANY

Philanthropic Program

Over the past year, Fiduciary Trust has demonstrated excellence in the firm’s enhancements to their Donor-Advised Fund services. New creations include a Fiduciary Flexible Endowment Fund™, direct international DAF grant capabilities, and bulk grant recommendation upload capabilities. FTC has also engaged clients and prospects through a website overhaul, updates to their marketing collateral, and the addition of two new senior professionals to their team of highly trained staff. Within

the last year, the firm has sponsored a webinar with Trusts & Estates, launched a DAF services video and other timely insights, and hosted an exhibit at the 2023 Heckerling Estate Planning Conference. These achievements showcase the firm’s commitment to innovation, engagement, and growth in the philanthropy sector.

Fiduciary Trust Company (FTC) is an independent, private wealth management firm focused on individuals, third-party advisors, family offices, and nonprofits in the U.S. Our capabilities include customized wealth planning, investment management, trust and estate administration, and family office, tax, and custody services. We serve nearly 1,200 clients, have earned an average annual client retention rate of 98% over the past decade, and have over $21B in assets under supervision as of April 30, 2022. FTC offers a range of charitable giving vehicles including charitable trusts, and a direct gifting and donor-advised fund program through Fiduciary Trust Charitable, an independent, public charity for which FTC serves as the administrative services provider and one of several investment advisors.

WealthManagement.com

*NOTE: Company descriptions are effective as of the date of nomination submission (February – May 2023). For updated facts and figures since that timeframe, please contact the nominated company.

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ASSET MANAGERS Charitable Giving / Donor Advised Funds

SCHWAB CHARITABLE

Schwab Charitable™ partnered with the National Center for Family Philanthropy to provide advisors with tools to help clients embrace family philanthropy and maximize their charitable impact. Family philanthropy can be transformative for family members and the communities they serve, sometimes with an impact that lasts generations. However, achieving a positive, enduring impact requires purposeful decision making throughout the lifespan of the family’s philanthropic work. A new series of guidebooks, road maps and videos developed by the National Center Partnerships with a Purpose

for Family Philanthropy and offered by Schwab Charitable allows advisors to help donors involve other family members in a life of shared purpose and a plan for meaningful, effective philanthropy. Advisors can now come armed to conversations on charitable planning with tools to inspire and educate clients.

Schwab Charitable’s mission is to increase giving in the U.S. with donor-advised funds and philanthropic tools and resources that make charitable giving tax-smart, simple, and efficient. We offer tools, guidance, and relationships that empower donors and their advisors to incorporate charitable planning into their everyday lives. Since our founding in 1999 as an independent 501(c)(3) public charity, Schwab Charitable donors have granted more than $26 billion to more than 230,000 charities.

www.schwabcharitable.org

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*NOTE: Company descriptions are effective as of the date of nomination submission (February – May 2023). For updated facts and figures since that timeframe, please contact the nominated company.

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ASSET MANAGERS Chief Marketing Officer of the Year

CAMBIAR INVESTORS

Mr. Le is responsible for all aspects of Cambiar’s marketing and branding efforts, including the designing and production of all print media, digital marketing (video, podcasts, advertisements), and all content found on our award-winning website. Mr. Le is also responsible for Cambiar’s media messaging that can be found on all major networks including CNBC, Fox Business, Barron’s, and more. Mr. Le has won several industry awards for his marketing initiatives, including a ThinkAdvisors Luminary and two IMEA Star Awards. In addition to his honors, he has been a finalist for Chief Marketing Officer of the Year by WealthManagement.com (2023) and With Intelligence (2022 & 2023). John also sits on the Board of Young Americans Bank. John Le

Cambiar Investors is a Denver-based investment management firm, founded in 1973. We utilize a Quality, Price, Discipline (QPD) investment philosophy across a wide range of strategies. Our disciplined, research-driven investment approach coupled with being a 100% employee-owned organization creates a corporate culture that shares a common pursuit of excellence with our clients.

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*NOTE: Company descriptions are effective as of the date of nomination submission (February – May 2023). For updated facts and figures since that timeframe, please contact the nominated company.

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ASSET MANAGERS Chief Marketing Officer of the Year

NUVEEN INVESTMENTS

Tara G iu liano Tara leads marketing for Nuveen. She is instrumental in effectively bringing Nuveen’s collective investment capabilities to our clients. Tara oversees a team that develops and executes on go to market plans aimed at acquiring, retaining and expanding client relationships while producing compelling investment stories that differentiate Nuveen from our competitors and address specific client needs. Prior to joining the firm in 2018, Tara held senior roles at UBS Asset Management as institutional global head of marketing and head of marketing for the Americas. She was also the director of asset management marketing at Morningstar and has held marketing roles at Allianz Global Corporate & Specialty and Nationwide. Tara has won a number of awards for marketing programs which she led including accolades from Financial Communications Society and Gramercy Institute.

Tara graduated with a B.S., cum laude, with honors and distinction, in Business Administration from The Ohio State University and with an M.A. in Communications from DePaul University. She serves on the Marketing Steering Committees for the Money Management Institute and the Investment Management Education Alliance. Tara is also a board member of the Chicago Children’s Museum.

Nuveen, the investment manager of TIAA, offers a comprehensive range of outcome- focused investment solutions designed to secure the long-term financial goals of institutional and individual investors. Nuveen has $1.1 trillion in assets under management as of 30 Jun 2022 and operations in 27 countries. Its investment specialists offer deep expertise across a comprehensive range of traditional and alternative investments through a wide array of vehicles and customized strategies.

www.nuveen.com

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*NOTE: Company descriptions are effective as of the date of nomination submission (February – May 2023). For updated facts and figures since that timeframe, please contact the nominated company.

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ASSET MANAGERS Chief Marketing Officer of the Year

PROSPERITY CAPITAL ADVISORS

Matt Seitz

As CMO and Partner of Prosperity Capital advisors, as well as the other entities within C2P Enterprises (Clarity 2 Prosperity, Clarity Insurance Marketing Organization and Valor Capital Management,) and JL Smith, a retail advisory practice, Matt focuses on data-driven marketing plans with clear ROI. He has streamlined marketing-sales funnels, spearheaded digital growth, reinforced brand identities, and implemented content marketing strategies to drive

leads. He was named one of Cleveland’s Notable Marketing Executives in 2021 by Crain’s and was C2P’s #1 mentor in 2022 for advisors looking for marketing and sales assistance. He is also a frequent author, speaker, podcast co-host and media contributor and has received industry recognition for his content marketing, video marketing, and lead- generation campaigns.

Prosperity Capital Advisors (PCA) is a planning-first, SEC-registered investment adviser (RIA) that equips advisors with an array of fee-based financial planning and investment solutions to meet their individual clients’ unique needs. It offers advisors a full-service, open architecture investment platform for turnkey asset management as well as tools and resources to build holistic financial plans. PCA is custodian agnostic and provides affiliated advisors extensive support, advanced portfolio analytics and reporting, investment product due diligence and selection, and more.

WealthManagement.com

*NOTE: Company descriptions are effective as of the date of nomination submission (February – May 2023). For updated facts and figures since that timeframe, please contact the nominated company.

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ASSET MANAGERS Client Experience Initiative

FS INVESTMENTS

FS Thrive

At FS Investments, we never settle when it comes to delivering positive investing experiences for our clients. We are extending our company culture of innovation, grit and civic engagement to our advisor audience through FS Thrive, a collection of interactive value-add programs designed to help advisors maximize their impact as individuals, professionals, colleagues and community partners. By dynamically

collaborating with our partners, we can help advisors explore how to best work together with their teams, assist clients with discovering the true value potential of their business, benchmark the health of their own advisory practice and identify gaps in their daily routine to optimize performance.

FS Investments is an alternatives asset manager dedicated to delivering superior performance and innovative investment solutions for individuals, financial professionals and institutions. The firm was founded in 2007 with a vision to bring investors access to alternative asset classes and strategies historically available to only large institutions and the wealthiest individuals. FS Investments was combined with Portfolio Advisors in 2023 to meaningfully expand its investment capabilities and accelerate efforts to broaden its institutional client base. Following the transaction close, the firm will have over $78 billion in assets under management and will provide access to alternative asset classes, strategies and investment managers with the flexibility to deliver a wide range of structures and solutions. FS Investments never settles on behalf of its investors and focuses on setting industry standards for investor protection, education and transparency. The combined firm has over 500 employees worldwide and is headquartered in Philadelphia, PA.

fsinvestments.com

WealthManagement.com

*NOTE: Company descriptions are effective as of the date of nomination submission (February – May 2023). For updated facts and figures since that timeframe, please contact the nominated company.

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ASSET MANAGERS Client Experience Initiative

J.P. MORGAN

Casey Virtual Analyst

Casey is an innovative, advisor-facing virtual assistant that transforms digital workflows to provide efficiency, transparency and quality user experience. This powerful tool changes the way advisors can engage with clients in a new, digital way. Developed in J.P. Morgan Private Bank, Casey is equipped to help advisors efficiently complete time-consuming tasks, provide investment resources, and retrieve information in real time. Whether it be a new or seasoned advisor, the platform plays an active role in helping them navigate across advisor applications by empowering

them to self-serve and complete once- manual tasks within minutes. By focusing on high-impact features that employees need on a daily basis, Casey maintains a strong adoption rate.

At the World’s Best Private Bank as named by Global Finance magazine, we’ve been working with individuals and their families for more than 200 years to help them achieve their unique ambitions and experience the full possibility their wealth can create. Whether you’re focused on building, preserving or transferring wealth, we bring you a team of specialists in planning, investing, lending and banking, carefully curated to match your goals. Drawing on generations of accumulated knowledge, we help you seize opportunities with collective experience that can mitigate risks and maximize returns. And no matter how complex your needs are, you will discover that no one outgrows the Private Bank.

privatebank.jpmorgan.com

WealthManagement.com

*NOTE: Company descriptions are effective as of the date of nomination submission (February – May 2023). For updated facts and figures since that timeframe, please contact the nominated company.

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ASSET MANAGERS Digital Marketing Campaign of the Year

FS INVESTMENTS

In November 2022, FS Investments launched a robust digital marketing campaign to support the listing on the New York Stock Exchange of FS Credit Opportunities Fund (NYSE: FSCO). FSCO is one of the largest credit-focused closed-end funds by asset size in the public market. The campaign featured strategic media placements (The Wall Street Journal, Ignites and Investment News), a search advertising campaign, Break-up Letter to the 60/40

new videos and email communications anchored around a bold, typographic creative approach: “A Breakup Letter to the 60/40” portfolio. The campaign also included a half-page print ad in The Wall Street Journal and Barron’s that encouraged readers to scan a QR code to go to a custom webpage where they could learn more about FSCO.

fsinvestments.com

WealthManagement.com

*NOTE: Company descriptions are effective as of the date of nomination submission (February – May 2023). For updated facts and figures since that timeframe, please contact the nominated company.

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ASSET MANAGERS Direct Indexing

NEUBERGER BERMAN

Neuberger Berman’s Custom Direct Indexing platform is one of the few platforms that offers active strategies. Unlike legacy direct index providers, NB Custom Direct Investing (CDI)™ allows clients to implement custom SMAs across Active, Core, Factor, or Hedged equity mandates, along with the ability to create blended exposures. Given active equity portfolios have higher turnover than core benchmarks, and portfolio managers are evaluated on pre-tax performance, tax-management is extremely valuable, providing 3-6% of New Direct Indexing Strategies

annualized tax alpha. Currently more than 60% of our assets are on active strategies that range across asset classes. Over the past 18 months, we have added 15 new strategies to the platform based on client demand. These new offerings include REITs, real assets, and custom US and global blended mandates.

Neuberger Berman, founded in 1939, is a private, independent, employee-owned investment manager. The firm manages a range of strategies—including equity, fixed income, quantitative and multi-asset class, private equity, real estate and hedge funds—on behalf of institutions, advisors and individual investors globally. With offices in 26 countries, Neuberger Berman’s diverse team has over 2,600 professionals. Neuberger Berman is a PRI Leader, a designation, since last assessed, that was awarded to fewer than 1% of investment firms for excellence in Environmental, Social and Governance (ESG) practices. In the 2021 PRI Assessment, the firm obtained the highest possible scoring for its overarching approach to ESG investment and stewardship, and integration across asset classes. The firm manages $427 billion in client assets as of December 31, 2022.

WealthManagement.com

*NOTE: Company descriptions are effective as of the date of nomination submission (February – May 2023). For updated facts and figures since that timeframe, please contact the nominated company.

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ASSET MANAGERS Direct Indexing

PARAMETRIC

During periods of extreme volatility, balancing tax-loss harvesting and risk become even more important. Sharp market downturns present the greatest opportunity for tax-loss harvesting. The worst-performing stocks during a stock market crash also tend to come of the best-performing stocks during its recovery. Although aggressively harvesting the worst beaten-down losses during a crash may look attractive from a tax perspective, this can lead to reversal risk of pretax underperformance when the market bounces back. Short-term Reversal Factor

Parametric, part of Morgan Stanley Investment Management, the asset management division of Morgan Stanley (NYSE: MS), uses investment science to build and manage systematic investment strategies and to implement custom portfolio solutions providing clients with targeted investment exposures with control of costs and taxes. Based on principles of intellectual rigor, ingenuity and transparency, Parametric seeks to deliver repeatable client outcomes with consistently high levels of service and maximum efficiency. As of December 31, 2022, Parametric managed $389 billion in assets on behalf of institutions, high-net-worth individuals and fund investors. Headquartered in Seattle, Parametric also has offices in Minneapolis, New York, Alpharetta, Boston and Westport, Connecticut. For more information, visit parametricportfolio.com.

WealthManagement.com

*NOTE: Company descriptions are effective as of the date of nomination submission (February – May 2023). For updated facts and figures since that timeframe, please contact the nominated company.

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ASSET MANAGERS Diversity, Equity and Inclusion

NATIONWIDE FINANCIAL RETIREMENT INSTITUTE

Diverse Market Program

To strengthen the strategy of the Nationwide Retirement Institute’s Diverse Market program, we’ve broadened our research scope to encompass the unique needs of communities including Black, Hispanic, LGBTQ+, Rural, Asian, Women, and those with Special needs. Our ambassador initiative has also seen growth, with Nationwide’s top-tier leaders championing and are committed to promoting our diverse markets Thought Leadership throughout the financial sector. Furthermore, our collaboration with the Financial Alliance for Racial Equity

(FARE) coalition stands as a testament to our commitment. The FARE coalition of financial services firms, industry-leading organizations, and Historically Black Colleges and Universities (HBCUs) working diligently to bring more Black students and professionals into the financial services industry. We remain dedicated to augmenting our diverse partnerships, aiming to elevate the financial well-being of underserved markets via specialized research and education. We’re also proud to announce our extended alliance with the American College for Special Needs.

Nationwide Retirement Institute delivers innovative thought leadership programs, training, consultative services, and strategic partnerships. Our strategy is to accelerate and enable Nationwide Financials’ growth by influencing market thinking through industry-leading thought leadership, actionable insights and resources while promoting protection strategies for life’s most important moments. Our Diverse Markets program is designed to showcase a variety of client demographics to better understand the potential differences and similarities among these client bases. It will also help keep you educated, empathetic and aware of these groups’ needs.

nationwidefinancial.com/nationwide-retirement-institute

WealthManagement.com

*NOTE: Company descriptions are effective as of the date of nomination submission (February – May 2023). For updated facts and figures since that timeframe, please contact the nominated company.

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