Janine Moore, AIF, CPFA, CFS

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 scores each 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. 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 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.

PLANADVISER Top 100 Retirement Plan Advisers 2024 – 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 2024 there were 296 applicants, 263 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.

NAPA Top DC Advisor Firms: 2024 – 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. In 2024, approximately 452 submissions were received and 452 were selected. 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 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.