Austin Gwilliam, CPFA®

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 2018 – The Financial Times 401 Top Retirement Advisors is an independent listing produced annually by the Financial Times (September 2018). 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. Out of 678 applications; about 59% of which (401) 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.

NAPA Top Retirement Plan Advisors Under 40: 2014-2018 – Nominations from the list were provided by NAPA Broker-Dealer/RIA Firm Partners. Nominees had to be retirement plan advisors with their own book of business, and had to be less than 40 years of age (born after January 1, 1977.) 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 young advisors. 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 applicant’s future performance.

In 2014, 121 nominations were received. 50 were ultimately selected. In 2015, 489 nominations were received. 50 were ultimately selected. In 2016, 515 nominations were received. 50 were ultimately selected. In 2017, 510 nominations were received. 75 were ultimately selected. In 2018, we received 588 nominations, and from that, 300 completed the application – 100 on the final list.

Top Advisor By Participant Outcomes by 401(k) Specialist Magazine May 2020 – Established in 2017, nominees are reviewed by The 401(k) Specialist editorial team, which will select and profile a Top Advisor by Participant Outcomes (TAPO) each month, a 401(k) advisor who proves their knowledge, innovation and exceptional achievements specifically in the area of Participant Outcomes, and someone who will then share their knowledge with our advisor audience. This award is created and conducted by 401(k) Specialist. This award is not indicative of the advisor’s future performance.  A fee was not paid by the advisor or the advisor’s parent company for this award.

2023 PLANADVISER Retirement Plan Adviser of the Year Finalist – The 2023 PLANADVISER Retirement Plan Adviser of the Year awards are based on a mixture of qualitative and quantitative measures, including tenure in the business, focus on retirement plan business as a percentage of practice revenue, willingness to serve in a fiduciary role to client plans, and a review of essay answers. Nominations were collected online in December 2022 through January 2023. In 2023, there were a total of 71 nominations and 30 finalists were named. Winners were announced in May 2023. The PLANADVISER Retirement Plan Adviser of the Year awards are not indicative of the investment adviser’s future performance and no adviser pays, or is paid a fee, to take part in the program.

2024 NAPA Top DC Advisor Team – 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. Teams must have at least $100 million in AUA to be included. The list is based exclusively on self-reported AUA. 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 452 submissions participated in the ranking. 452 were named to the final ranking.