INDEPENDENT WEALTH ADVISORIES

INVESTMENT MANAGEMENT

This award aims to identify winning independent advisories that are licensed to carry out investment planning and management for clients. We are looking for winners with stringent processes to find the least costly, complex, or risky products and who can demonstrate best practices in mitigating investors’ risks and losses. The jurors will be looking at the platform being used, and how the advisory conduct their product due diligence that goes beyond standard checkboxes, product onboarding, and monitoring process, how client suitability is implemented in investment selection, the advisory’s research and portfolio management model, plus team strength.

WEALTH PLANNING

This category will assess the capabilities of independent advisories advising Affluent Clients’ growing wealth. “Affluent Clients” are customers who have gone past the pure wealth accumulation stage and have entered into a wealth protection and wealth distribution stage. The jurors will be examining the advisories’ capabilities on their service offerings for individuals and families in areas of succession, philanthropy, and complex tax issues. The panel does not expect these services to be offered in-house, and therefore will be looking for disciplines and partnership models for these services to be rendered through external third-parties, and how these services are tied to the core offerings of the advisory.

WEALTH ADVISORY OF THE YEAR (Under 100 Seats)

Being a successful independent wealth advisory in the current stringent regulatory environment and market volatility is harder than ever. We are looking to award an advisory with 100 seats or less that has stringent processes to find the least costly, complex, or risky products to achieve its objectives. The jurors will be looking at the advisory’s range of investment classes, range of wealth planning services, portfolio management model and strategies, administration efficiency and support, and team strength. 

WEALTH ADVISORY OF THE YEAR (Over 100 Seats)

Being a successful independent wealth advisory in the current stringent regulatory environment and market volatility is harder than ever.  We are looking to award an advisory with more than 100 seats that has stringent processes to find the least costly, complex, or risky products to achieve its objectives. The jurors will be looking at the advisory’s range of investment classes, range of wealth planning services, portfolio management model and strategies, administration efficiency and support, and team strength.