Awards & Recognition


Financial Times 401 Top Retirement Plan Advisors

The Financial Times 401 Top Retirement Plan Advisors is an independent listing produced by the Financial Times. The FT 401 is based on data gathered from financial advisors, regulatory disclosures, and the FT’s research. The listing reflects each advisor’s status in seven primary areas, including DC plan assets under management, growth in DC plan business, specialization in DC plan business, and other factors.  In 2018, out of 678 applications, about 59% received this award.  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 Financial Times in exchange for inclusion in the FT 401.

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.

PLANADVISER Top 100 Retirement Plan Advisers

The PLANADVISER Top 100 Retirement Plan Advisers 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, they had to submit a completed entry to the Retirement Plan Adviser Survey. A sub-segment of the questions was used to determine eligibility for the Top 100.  In 2017, 341 survey responses were collected for the 2018 list.  Of those, 100 (29%) were named.  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 PLANADVISER in exchange for inclusion in the Top 100.

PLANSPONSOR Retirement Plan Adviser of the Year

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.